National Mission for Clean Ganga

Ministry of Water Resources, River Development & Ganga Rejuvenation

Government of India

Environmental and Social Management Framework (ESMF)

For

The Namami Gange Programme

May 2011

(Revised August 2017)

CONTENTS

Section 1Background ................................................................................................................. 1

1.1 Background ......................................................................................................................... 1

1.2 Objective ............................................................................................................................. 2

1.3 The ESMF ............................................................................................................................. 3

Section 2 Environmental and Social Impacts .......................................................................... 4

2.1 General ................................................................................................................................ 4

2.2 Portfolio of Investments ..................................................................................................... 4

2.3 Environmentand SocialImpacts .......................................................................................... 6

2.3.1 Sewerage Schemes .................................................................................................. 6

2.3.2 Sewage Treatment Plants ......................................................................................... 7

2.3.3 Solid Waste Management Investments .................................................................... 8

2.3.4 Industrial Pollution Control Initiatives .................................................................... 8

2.3.5 River Front Management Investments .................................................................... 9

Section 3 Environment and Social Regulatory Framework .................................................. 11

3.1 General .............................................................................................................................. 11

3.2 Applicable Lawsand Regulations - Environmental ............................................................ 11

3.2.1 Legal Framework of Government of India ............................................................ 11

3.2.2 Key Environmental Laws and other related Regulations ...................................... 12

3.3 Applicable Lawsand Regulations - Social ............................................................. 14

3.4 Other legislations applicable to construction activities ......................................... 16

3.5 Applicable World Bank Policies ........................................................................... 18

Section 4 Environment and Social Management Framework ............................................... 21

4.1 Objectives ......................................................................................................................... 21

4.2 Purpose of the ESMF ....................................................................................................... 21

4.3 Screening and categorization of Investments (during the Feasibility Study stage) ... 22

4.3.1 Addressing safeguard issues in projects for retroactive financing ............................. 24

4.4 Addressing environmental and social impacts (during preparation of the DPR) ....... 26

4.4.1 High impact categories ..................................................................................................... 26

4.4.2 Resettlement Policy and Land Acquisition Framework (RPLAF) ....................................... 27

4.4.3 Tribal Management Framework (TMF) ............................................................................. 38

4.4.4 Gender Assessment and Development ............................................................................. 39

4.4.5 Consultation and Information Disclosure ......................................................................... 40

4.4.5 Low impact categories ...................................................................................................... 48

4.5 Stakeholder Consultations and Disclosure of ESA ............................................................ 49

4.6 Environmental Regulatory Compliance ............................................................................ 50

Section 5 Implementation, Monitoring and Reporting Arrangements .................................. 56

5.1 General .............................................................................................................................. 56

5.2 Namami GangeInstitutional Arrangements ...................................................................... 56

5.3 Implementation, Monitoringand Reporting Arrangementsfor the ESMF ........................ 57

5.4 Social Accountabilityand Grievance Redressal Mechanism .............................................. 65

5.5 Training and Capacity Building .......................................................................................... 66

Section 6Public Consultations and Disclosure ........................................................................ 70

6.1 General .............................................................................................................................. 70

6.2 Minutes of Public Consultation Meetings ......................................................................... 72

List of Appendices

Annexure I Guidance on EIA of High impact category Sub-Project ..................................................... 95

Annexure II Generic Environmental Guidelines / Management Plan for Low impact category

Investments ................................................................................................................................. 101

Annexure III Roles and Responsibilities of Social Development Specialists ....................................... 120

Annex IV .............................................................................................................................................. 122

Sample Terms of Reference for Environmental and Social Audit of Namami Gange Program

Investments ................................................................................................................................. 122

Annex V ............................................................................................................................................... 124

Comparative Analysis of Right to Fair Compensation and Transparency in LAR&R (RFCTLAR&R) Act

2013 and World Bank Policy 4.12, Involuntary Resettlement and 4.11 Indigenous People. ..... 124

List of Tables

Table 2.1 Portfolio of investments under Namami Gange Programme 05

Table 3.1 Environmental Regulations and Legislations 12

Table 3.2 The land acquisition process 16

Table 4.1 Screening format 21

Table 4.2 Entitlement Matrix 28

Table 4.3 Environmental Regulatory Requirements for Namami Gange investments 40

Table 4.4 Environmental Regulatory Compliance during construction and operation of

Namami Gange investments

42

Table 4.5 Environmental Regulatory Requirements for Namami Gange Investments 47

Table4.6 Environmental Regulatory Compliance during Construction and Operation of

Namami Gange Investments

49

Table 5.1 Mitigation, Monitoring, Responsibility and Timeline 57

Table 5.2 ESMF Implementation and Monitoring Arrangement 59

Table 5.3 Generic Training Programme 63

Table 6.1 Details of the public consultations held at the five selected states 66

List of Abbreviations

AF Affected Family

BPL Below Poverty Line

CPRs Common Property Resources

EA Executing Agency

EMP Environmental Management Plan

EP Entitled Person

ESA Environmental and Social Assessment

ESMF Environmental and Social Management Framework

GAP Ganga Action Plan

GoI Government of India

GSMP Generic Safeguard Management Plan

ha Hectare

LAA

MoWR,RD&GR

Land Acquisition Act

Ministry of Water Resources, River Development

& Ganga Rejuvenation

MoEF&CC Ministry of Environment ,Forests& Climate Change

NGO Non-Government Organization

NGP

NMCG

Namami Gange Program

National Mission for Clean Ganga

NLCP National Lake Conservation Plan

NRCD National River Conservation Directorate

PAP

RFCTLARR 2013

Project Affected Person

Right to fair compensation and transparency in land

acquisition, rehabilitation and Resettlement Act

R & R Resettlement and Rehabilitation

RAP Resettlement Action Plan

ROW Right of Way

SC Scheduled Caste

SPMG State Programme Management Group

SRCA

SECs

State River Conservation Authorities

State Executive Committees

ST Scheduled Tribe

u/s Under Section

ULB Urban Local Body

Glossary of Terms

Bigha 1/5 of an acre

Development Block A number of villages grouped together form a Development

Block.

District Collector/ Magistrate Administrative head of a District.

Divisional Commissioner Administrative head of a division comprising of a number of

districts.

Grievance Redressal Cell A cell set up for grievance redressal by the competent

authority at various levels

Hectare A unit for measuring land area. (10,000 m2).

Kachha Structures with stone/ mud wall/ thatch roof

Non-titleholders Drawing economic benefits from a piece of land, but not the

owner of the land

Panchayat Elected local self-governing body at village level.

Panchayat Samiti Local Self-governing body at Block level

Pucca Cement, bricks or concrete build structure

Sarpanch Elected Head/chief of a village level body.

Semi Pucca Structures with tiles/ thatch roof/ brick cement wall

Tehsil/ Subdivision A group of Blocks

1

Section 1Background

1.1 Background

1. River Ganga has significant economic, environmental, and cultural value in India.

Rising in the Himalayas and flowing into the Bay of Bengal, the river traverses a course

of more than 2,500 km through the plains of north and eastern India. The Ganga basin

(which also extends into parts of Nepal, China and Bangladesh) accounts for about 26

percent of India’s landmass, 30 percent of its water resources, and more than 40 percent

of its population. Ganga is India’s holiest river and has a cultural and spiritual

significance that far transcends the boundaries of the basin.

2. Increasing population in the basin and haphazard urbanization and industrial growth

has significantly impactedthe water quality of River Ganga, particularly during the dry

season. The primary sources of pollution are untreated sewage and industrial

wastewater. Non-point pollution sources from agriculture and livestock,religious

activities at various locations along the river, as well as poor solid waste management,

also contributes to pollution. In addition, substantial abstraction of water, primarily for

irrigation, has led to low flows and associated poor water quality in the critical middle

stretch of the river.

3. The previous attempt to clean the river, such as Ganga Action Plan (GAP) launched in

1985 have provided some gains in arresting rate of water quality degradation, but lot

more needs to be done.

4. Lessons from earlier experience indicate that improving water quality in the Ganga

cannot be achieved by plugging the infrastructure gap alone. Any effective initiative

will have to adopt a three-pronged approach by (i) establishing a basin-level multi-

sectoralstrategy for addressing pollution in the river (ii) making relevant institutions

operational and effective and (iii) implementing a phased program for Ganga clean-up.

5. As a major first step in this direction, the Government of India (GoI) has established

the National Ganga River Basin Authority (NGRBA) in 2009 and in 2016 National

2

Council for River Ganga (Rejuvenation, Protection and Management), as an

Authority has been created for comprehensive management of the river. The Namami

Gange Programme will adopt a river-basin approach and has been given a multi-

sectoral mandate to address both water quantity and quality aspects. The Namami

Gange Program has resolved that by year 2020 no untreated municipal sewage or

industrial effluent will be discharged into River Ganga. National Ganga River Basin

Project (NGRBP) started in 2011 is funded by World Bank has now been included as a

part of Namami Gange Programme.

1.2 Objective

6. The Namami Gange program will finance infrastructure investments to reduce pollution

loads at priority locations on the river. The investments are intended to exemplify,

among other attributes, the high standards of technical preparation and implementation,

sustainability of operations, and public participation. The majority of investmentsin the

Namami Gangeprogram are expected to be in the wastewater sector, particularly in

wastewater treatment plants and sewerage networks. Investments will also be supported

in industrial pollution control and prevention (e.g. common effluent treatment plants),

solid waste management (e.g. collection, transport and disposal systems), and river

front management (e.g. improvement of the built environment along river stretches,

improvement of small ghats and electric crematoria, and the conservation and

preservation of ecologically sensitive sites). Many investments are likely to combine

elements of more than one of these sectors.

7. An investmentframework has been finalised for selection of program investments. The

objectives of thisinvestmentsframework are to:

a) provide a filter for all the Namami Gangeinvestments, for ensuring that the selected

investments are well-prepared and amongst the most effective in reducing the

pollution loads;

b) make transparent the decision-making process on investments selection; and

c) Ensure that the investments are implemented in a sustainable manner.

d) Investment projects needs to ensure compliance with National and local

Environmental and Social legislation/regulation as well as World Bank safeguards

policies (wherever applicable).

3

1.3 The ESMF

8 Given the distributed nature of investments in multiple states, the investments under the

program may entail environmental and social impacts.The environment and social

frameworkis intended to help manage the social and environmental impacts through

appropriate measures during the planning, design, construction and operation phases of

various investments. The frameworkwill identify the adverse environment and social

impacts and provide specific guidance on the policies and procedures to be followed

for environmental and social assessment along with roles and responsibilities of the

implementing agencies.

9 The document essentially comprises the following key sections:

A brief summary of key probable Environmental and Social Impacts

Environment and Social Regulatory Framework applicable for the program

Environment Management Framework

Social Management Framework

Project Appraisal, Monitoring and Reporting Arrangements

Institutional Arrangements

Training and Capacity Building for ESMF

4

Section 2 Environmental and Social Impacts

2.1 General

10 The implementation of the river pollution mitigation investments may have

environmental and social issues like pollution of surface and ground water bodies or

other natural resources, issues related to air pollution or other environmental health and

sanitation, inconvenience to public due to traffic diversions and construction activities,

issues of land acquisition and rehabilitation and resettlement. The NMCGrecognizes

these environmental and social issues and prepares itself to address their mitigation

through a set of management procedures elaborated in this Environmental and Social

Management Framework (ESMF). NMCG, through state level SPMGs will ensure that

policies and procedures described in the ESMF are applied to all investments.

11 To evolve its environmental and social management procedures, the NMCGhas

carefully examined the portfolio of investmentspreviously executed under the river

pollution mitigation investments under Ganga Action Plan (Phase I and II) along with

similar other urban infrastructure investments implemented elsewhere in the country

under various Government of India sponsored schemes, supplemented bydetailed

environmental and social analysis of Ganga Basin andfield visits to existing and

proposed sample investments.

2.2 Portfolio of Investments

12 The portfolio of investments to be implemented is presented in Table 2.1. These

investments in the first phase of program is spread across several cities and/or towns

within the Ganga main stem states of Uttarakhand, Uttar Pradesh, Bihar, Jharkhand and

West Bengal and may be extended to entire Ganga basin comprising of 11 states in

later phases.

5

TABLE 2.1 PORTFOLIO OF INVESTMENTS UNDER NAMAMI GANGE PROGRAM

S.No. Portfolio of

investments

Possible Portfolio Components

1 Sewerage and Sanitation

Systems/ Sewage

Treatment Plants (New /

Upgradation)

Provision for an entirely new sewerage network

including individual house connections

Extensions to existing sewerage networks in some

parts of cities/towns to include areas which are un-

sewered hitherto or to newly developed areas in the

recent years

Entirely new sewage treatment plant/facility

Augmentation of capacities in existing sewage

treatment plant/facility

Remodelling /Renovation of existing sewage

treatment facilities, resulting in better effluent

quality and augmented treatment capacity

2 Solid Waste

Management

Engineered landfills with leachate collection and

treatment systems

Waste segregation and composting facilities

Waste Processing or Waste to Energy Facilities

3 Industrial Pollution

Control Initiatives

Common Effluent Treatment Plant

Common Hazardous Waste Management Facilities

Pilot treatment facilities for various industrial sectors

Waste Minimization and Clean Technology

Programs

4 River Front

ManagementInvestments

River Front Management and beautification

Construction of Bathing Ghats

Development of Cremation groundsImprovement to

existing crematoriasituated on river banks

13 The Investments aims at preventing discharge of untreated sewage into River Ganga

and thus aiding abatement of river water pollution and improvement in water quality.

Consequently,this also contributes to the improvement in the status of environment

health and sanitation for the citizens of the concerned cities and towns. The

Investments, to be implemented, have its own beneficial as well as adverse impacts.

The significance of these impacts depends on the individual project, its size and

location.The likely beneficial impacts of the investmentsinclude the following.

Improvement in sewerage collection and treatment within the cities/towns

Prevention of storm drains carrying sanitary sullage or dry weather flow

Prevention of ground water and soil pollution due to infiltration of untreated liquid

waste

Prevention of discharge of untreated sewage into River Ganga

Improvement in water quality of River

6

Improvement in environmental sanitation health and reduction in associated health

hazards within the cities/towns

Improvement in quality of life, human dignity and increased productivity

Reduced nuisance of open defecation due to low cost sanitation and reduced

malarial risks and other health hazards

Improved community participation and sense of ownership

2.3 Environmentand SocialImpacts

14 This section identifies the environmental and social impacts of the investmentswith a

view to facilitate early evaluation of such impacts and integrate suitable mitigation

measures during planning stage itself.Based on field visits and discussion with the

potential executing agencies, the typical adverse impacts associated with the

investmentsare summarized below:

2.3.1 Sewerage Schemes

15 The investmentsinvolve laying of sewers (both gravity and pressure lines), provision of

sewer connections to individual houses, gravity based interception and diversion

arrangements to drains carrying sanitary sullage/dry weather flow, construction of new

sewage pumping stations including installation of electro- mechanical works,

renovation and/or remodelling of existing sewage pumping stations among others. Most

of these investmentswould be concentrated in one location except for laying of sewers

(both gravity and pressure lines), which are linear investmentsand the sewers are largely

buried below ground or sometimes may be laid on or above the ground depending upon

the available/required slope or gradient.

16 Although there would not be any permanent negative or adverse environmental

impacts, the potentialenvironment issues associated with sewerage and sanitation

investmentsare:

surface and groundwater contamination due to leakage and/or improper joints in

sewers

severance of utilities and requirement for relocation due to sewer laying

disruption due to local traffic diversion and congestion during sewer laying works

impact on public/private properties and other sensitive receptors along the sewer

alignment during construction

7

disposal of excess excavated soil and construction debris

Exploitation of water sources for meeting construction water demand.

air and noise pollution from construction equipment’s

Health and safety concerns of workers, while laying or rehabilitating existing

sewers.

2.3.2 Sewage Treatment Plants

17 The investmentsmay involve construction of new sewage treatment plants,

augmentation of treatment capacity in existing sewage treatment plants and renovation

and/or re-modelling of existing sewage treatment plants, resulting in improved effluent

quality and disposal as per prescribed standards. Most of these investmentswould be

concentrated in one location and the requirement of land for these investmentsis small

as compared to other infrastructure development investments.

18 Although there would not be any permanent negative environmental impacts, the

potentialenvironment issues associated with sewage treatment facility are:

change in land use pattern, in case of proposed sewage treatment plants at new

locations

change in channel hydraulics, triggering erosion and siltation problems, if sewage

treatment plants are proposed in flood plains

change in hydrology and drainage patterns due to the construction activity,

particularly, if sewage treatment facility is located in flood plains

health and safety issues associated with operation and maintenance of sewage

treatment facility, particularly exposure to methane and other noxious gases, sludge

contaminated with heavy metals etc.

issues associated with the disposal of sludge, if sewage is likely to be contaminated

with heavy metals due to mix of industrial waste with sewage

emission of methane, if not utilized for power generation or any other gainful

applications

water logging problems due to improper/ inadequate disposal of treated effluent or

effluent not conforming to stipulated discharge standards during operation

Most of the portfolio of infrastructure investment under Namami Gange programme belongs

to sewerage infrastructure and River Front Development. A sample construction and

operation stage impacts and management measures are given in Annexure-

8

2.3.3 Solid Waste Management Investments

19 These investmentsmay involve construction of municipal waste receiving and

segregation yards, composting yards, engineered landfills with leachate collection and

disposal arrangements among others. Most of these works would be spread over in one

location and the requirement of land for these investmentsis rather small as compared

to other infrastructure development investments. Generally, the land for the solid waste

treatment facility will be selected away from habitations.

20 Although there would not be any permanent negative environmental impacts, the

potentialenvironment issues associated with Solid Waste Management are:

surface and ground water contamination due to unmanaged leachate collection and

disposal

change in channel hydraulics, triggering erosion and siltation problems, if solid

waste management facility is proposed in flood plains

change in hydrology and drainage pattern, if the facility is located in flood plains

air quality, odour and fly nuisance due to the improper operation of waste disposal

or processing facilities

issues pertaining to siting of facility such as change in land use pattern, proximity

to settlements, cultural properties and any other sensitive receptors

air and noise pollution from construction equipment’s

Health and safety issues associated with operation and maintenance of solid waste

treatment facility, particularly of workers manually handling wastes.

2.3.4 Industrial Pollution Control Initiatives

21 Investmentsunder this component could involve development of common industrial

effluent treatment plants or hazardous waste management plants, etc. However,

implementation of these pollution control facilities may lead to certainenvironmental

impacts such as the following:

Pollution of water resources

Soil contamination due to the disposal of untreated / partially treated effluents and

/ or hazardous wastes

9

air quality, odour and fly nuisance due to the improper operation of treatment

facilities

health impacts on the neighbouring communities

Issues of leachate and loss of productivity to agriculture lands due to the disposal

of sludge from the facilities.

2.3.5 River Front Management Investments

22 These works involve river front development schemes, beautification of river banks,

construction of bathing ghats along rivers, lakes and water bodies improvement,

redevelopment of cremation grounds among others. These works would be included

under one investment. The requirement of land for these works is moderate and much

lesser than that is required for the sewage treatment or solid waste treatment facility.

Although, these facilities are frequently used by the citizens, the location of these

investmentswill not generally involve displacement of people.

23 There would not be any permanent adverse or negative impacts due to these

investments, if there are no major interferences in the river flow channel hydraulics,

which can trigger erosion and siltation issues either in situ or elsewhere along the course

of the river.Impacts due to such investments could be minimized or mitigated by

appropriate interventions and engineering designs.

24 The environmental issues that may arise due to investments like river front

development schemes, beautification of river banks, construction of bathing ghats, and

development of cremation grounds are:

change in land use, and drainage pattern

change in channel hydraulics, triggering \erosion and siltation problems either at in

situ or elsewhere along the course of river

impact due to inadequate solid and liquid waste disposal arrangements

impact due to inadequate sanitation, health and safety facilities

impact on river water quality due to proposed amenities

impact on environmental aesthetics and cultural value

25 As regards to the Social Impacts, the requirement of land for all these investments is

rather small. However, wherever there is displacement of titleholders/non-titleholders, it may

10

involve resettlement issues and may result in temporary loss of access to private and common

properties during construction. Social issues that may arise due to these kinds of investments

are:

Direct purchase of small land parcels for SPS/ Lifting station

Land acquisition / taking for sewerage treatment plant leading to loss of livelihood /

displacement of non-titleholders / titleholders

Temporary land taking causing inconvenience to local community

Temporary loss of common grazing area

So far, in most cases, SPS and STPs have been designed in existing government land that is

free of encroachment and other encumbrances. In case of requirement of private land, EAs

have preferred direct purchase on the basis of willing buyer – willing seller. Where ever,

government land has been taken, non-titleholders have been compensated for assets and

assisted in relocation (e.g, Patna RFD).

Most of these investments would be concentrated in one location and the requirement of land

for these investments is rather small as compared to other infrastructure development

investments. Hence, the social impacts would be minimal but in case of displacement

Resettlement Action Plan1 need to be prepared.

1 e.g. places where Government land is available and no displacement is involved a Generic ESMP is prepared/to

be prepared. Places where private land acquisition is involved /physical displacement or displacement of Non

title holders is required ( e.g cases like Patna RFD and Begusarai WWT) , an abbreviated RAP /RAP is

prepared/to be prepared.

11

Section 3 Environment and Social Regulatory Framework

3.1 General

26 The national, state and local environmental and social regulatory requirements that are

applicable to the investments proposed are given in this section. As the applicability of

these legal requirements would depend on the nature of the specific investments, the

exact applicability cannot be determined at this stage. SPMGsand the State level

executing agencies (EA) wouldensure compliance ofthese requirements by all

concerned.

27 NMCGwould verify whether the investmentsare in compliance with these regulatory

requirements prior to granting approval to the investments and disbursement of funds.

During implementation, NMCGwould ensure that SPMGsmonitor the ESMF

compliance in all investmentson an on-going basis.

3.2 Applicable Lawsand Regulations - Environmental

28 The following laws and regulations are applicable to the environmental and social

aspects of the investmentsimplemented under the programme:

Policy and Regulatory Framework of Government of India(GoI)

Environmental Policy and Regulations of the respective State Governments

Legislations applicable to construction activities

3.2.1 Legal Framework of Government of India

29 The Government of India has laid out various policy guidelines, acts and regulations

pertaining to environment. The Environment (Protection) Act, 1986 is umbrella

legislation for the protection of environment. As per this Act, the responsibility to

administer the legislation has been jointly entrusted to the Ministry of Environment and

Forests& Climate Change (MoEF&CC) and the Central Pollution Control Board

(CPCB)/State Pollution Control Boards (SPCBs).

12

3.2.2 Key Environmental Laws and other related Regulations

30 The key environmental laws and regulations as relevant to the investments under the

NGRBP are given in Table 3.1. The key environmental regulations can also be accessed

at www.MoEF&CC.nic.in/rules-and-regulations

TABLE 3.1 ENVIRONMENTAL REGULATIONS AND LEGISLATIONS

S.

No Act / Rules Purpose

Applicable

Yes/ No Reason for Applicability Authority

1 Environment

Protection

Act,1986

To protect and improve

overall environment

Yes As all environmental

notifications, rules and

schedules are issued

under this act.

MoEF&CC, Gol,

DoE, State Govt.

CPCB, SPCBs

2 Environmental

Impact

Assessment

Notification

14th Sep-2006

Mandatory

environmental

clearance to certain

category of new

development activities

following

environmental impact

assessment

Yes

This notification is

applicable only for

Sewage Treatment

Facility and Solid waste

Treatment facility

investments

MoEF&CC, EIAA

3 Municipal

Wastes(Manag

ement and

Handling)Rule

s, 2000

To manage collection,

transportation,

segregation, treatment,

and disposal of

municipal solid wastes

Yes This notification is

applicable only for

Municipal Solid waste

Treatment facility

investments

MoEF&CC,

EIAA, CPCB,

SPCBs

4 Coastal

Regulation

Zone(CRZ)

Notification

1991 (2011)

Protection of fragile

coastal belt

No If Project location is

located along coastal

belt

5 Land

Acquisition

Act, 1894 (As

amended)

Sets out rules for

acquisition. of land by

government

Yes applicable in case of

acquisition of land for

investments

Revenue

Department, State

Government

6 The Forest

(Conservation)

Act,1980

To check deforestation

by restricting

conversion of forested

areas into non- forested

areas

Yes applicable if there is

diversion of forest land

for non-forest activities

i.e. forest land required

for any of the

investments

Forest Department,

State Government

and Ministry of

Environment and

Forests,

Government of

India

13

S.

No Act / Rules Purpose

Applicable

Yes/ No Reason for Applicability Authority

7 Wild Life

(Protection)

Act, 1972

To protect wildlife

through National Parks

and Sanctuaries

No This act will be

applicable, if there are

any points of wildlife

crossings in proximity

to project locations

Chief Conservator

Wildlife, Wildlife

Wing, State Forest

Department and

Ministry of

Environment and

Forests,

Government of

India

8 Air (Prevention

and Control of

Pollution) Act,

1981

To control air pollution

by controlling emission

of air pollutants as per

the prescribed

standards.

Yes This act will be

applicable during

construction;

SPCBs

9 Water

Prevention and

Control of

Pollution) Act,

1974

To control water

pollution by controlling

discharge of pollutants

as per the prescribed

standards

Yes This act will be

applicable during

construction

SPCBs

10 The Noise

Pollution

(Regulation

and Control)

Rules, 2000

The standards for noise

for day and night have

been promulgated by

the MoEF&CC for

various land uses.

Yes This act will be

applicable for all

construction equipment

deployed at worksite

SPCBs

11 Ancient

Monuments

and

Archaeological

Sites and

Remains Act,

1958

Conservation of

cultural and historical

remains found in India

Yes This act will be

applicable, only if any

of the investments is in

proximity to any

Ancient Monument,

declared protected

under the act.

Archaeological

Dept. GoI, Indian

Heritage Society

and Indian

National Trust for

Art and Culture

Heritage

(INTACH).

12 Public Liability

and Insurance

Act, 1991

Protection

fromhazardous

materials and accidents.

Yes Contractor need to

stock hazardous

material like diesel,

Bitumen, Emulsions

etc.

SPCBs

13 Explosive Act,

1984

Safe transportation,

storage and use of

explosive material

Yes For transporting and

storing diesel, Oil and

lubricants etc.

Chief Controller of

Explosives

14 Minor Mineral

and concession

Rules

For opening new

quarry.

Yes Regulate use of minor

minerals like stone,

soil, river sand etc.

District Collector

15 Central Motor

Vehicle Act,

1988

To check vehicular air

and noise pollution.

Yes This rule will be

applicable to vehicles

deployed for

construction activities

and construction

Machinery.

Motor Vehicle

Department

14

S.

No Act / Rules Purpose

Applicable

Yes/ No Reason for Applicability Authority

16 National Forest

Policy, 1988

To maintain ecological

stability through

preservation and

restoration of biological

diversity.

No This policy will be

applicable if any eco

sensitive feature exists

in and around the

investments

Forest Department,

State Government

and Ministry of

Environment and

Forests,

Government of

India

17 The Mining

Act

The mining act has

been notified for safe

and sound mining

activity.

Yes The construction

activities for

investments will

require aggregate.

These will be procured

through mining from

approved quarries

Department of

Mining, State

Government

3.3 Applicable Lawsand Regulations - Social

31 All strategic interventions on human development, spread across all social issues, need

directives of policies and legal support to operationalise the appropriate actions. These

policies and legislations help to overcome the constraints and support administrator,

implementer, community and individual in delivery of justice. This sectionincludes the

National policies and Acts as detailed under:

TABLE 3.2: RELEVANT NATIONAL SOCIAL POLICIES AND ACTS

Acts/Rule/Policy Year Objective Applicability

to this project

Responsible

Agency

Right to fair

compensation and

transparency in land

acquisition,

rehabilitation and

Resettlement Act

2013

Fair compensation for

acquisition of

immovable assets;

Resettlement of

displaced population

due to LA and economic

rehabilitation of all

those who are affected

due to land acquisition.

Yes. as some

subprojects will

be acquiring

private land

Revenue

Department of

respective state

governments.

Seventy Third

Constitution

Amendment Act,

1992

The Act enables

participation of

Panchayat level

institutions in decision-

making by broadening

the village level

functions, supporting

implementation of

Yes, as some

sub projects

may come in

panchayat areas

Department of

Panchayati Raj

of respective

state

governments.

15

Acts/Rule/Policy Year Objective Applicability

to this project

Responsible

Agency

development schemes.

The Act provides for

involvement of the PRIs

especially, the Gram

Sabha/ Panchayat

during project

preparation and

implementation. The

Panchayats at the village

level will be involved

for preparation and

implementation of the

project.

The Scheduled

Tribes and other

Traditional Forest

Dwellers

(Recognition of

Forest Rights) Act

2006

Grants legal recognition

to the rights of

traditional forest

dwelling communities,

partially correcting the

injustice caused by the

forest laws.

Makes a beginning

towards giving

communities and the

public a voice in forest

and wildlife

conservation

Yes, as some

sub projects

especially in

Jharkhand may

be located in

tribal areas

Ministry of

Tribal Affaires,

GOI and

Department of

Tribal Welfare

of various state

governments.

State Specific laws

Bihar Right to Fair

Compensation and

Transparency in

Land Acquisition,

Rehabilitation and

Resettlement Rules,

2014.

2014

To assist

implementation of

National Act on land

Acquisition and R&R.

Fair compensation for

acquisition of

immovable assets;

Resettlement of

displaced population

due to LA and economic

rehabilitation of all

those who are affected

due to land acquisition.

Yes, as some

sub projects

will be

acquiring

private land

Revenue

department and

requiring body

16

Acts/Rule/Policy Year Objective Applicability

to this project

Responsible

Agency

Bihar Rayati Land

Lease Policy 2014

Allows government to

take land on perpetual

lease from land owners

by paying four times of

the minimum value

registered in rural areas

and two times in urban

areas.

Yes, if land

acquisition is

not necessary

and land owner

agrees to give

land on lease.

Revenue

department and

requiring body

Uttar Pradesh

Land Purchase

through Mutual

Consent

2015

Allows government to

directly purchase land

from land owners

through mutual consent.

The policy apart from

land cost also provides

for R&R assistance

Yes, as private

land will be

required for the

purpose of the

project

Revenue

department and

requiring body

3.4 Other legislations applicable to construction activities

37 Construction stage generally involves equity, safety and public health issues. The

construction agencies therefore will be required to comply with laws of the land, which

include inter alia, the following:

Workmen's Compensation Act 1923 (the Act provides for compensation in case of

injury by accident arising out of and during the course of employment);

Payment of Gratuity Act, 1972 (gratuity is payable to an employee under the Act

on satisfaction of certain conditions on separation if an employee has completed 5

years);

Employees PF and Miscellaneous Provision Act 1952 (the Act provides for monthly

contributions by the employer plus workers);

Maternity Benefit Act, 1951 (the Act provides for leave and some other benefits to

women employees in case of confinement or miscarriage, etc.);

Contract Labor (Regulation and Abolition) Act, 1970 (the Act provides for certain

welfare measures to be provided by the contractor to contract labour);

Minimum Wages Act, 1948 (the employer is supposed to pay not less than the

Minimum Wages fixed by the Government as per provisions of the Act);

17

Payment of Wages Act, 1936 (it lays down as to by what date the wages are to be

paid, when it will be paid and what deductions can be made from the wages of the

workers);

Equal Remuneration Act, 1979 (the Act provides for payment of equal wages for

work of equal nature to Male and Female workers and not for making discrimination

against Female employees);

Payment of Bonus Act, 1965 (the Act provides for payments of annual bonus

subject to a minimum of 83.3% of wages and maximum of 20% of wages);

Industrial Disputes Act, 1947 (the Act lays down the machinery and procedure for

resolution of industrial disputes, in what situations a strike or lock-out becomes

illegal and what are the requirements for laying off or retrenching the employees or

closing down the establishment);

Industrial Employment (Standing Orders) Act; 1946 (the Act provides for laying

down rules governing the conditions of employment);

Trade Unions Act, 1926 (the Act lays down the procedure for registration of trade

unions of workers and employers. The trade unions registered under the Act have

been given certain immunities from civil and criminal liabilities);

Child Labour (Prohibition and Regulation) Act, 1986 (the Act prohibits

employment of children below 14 years of age in certain occupations and processes

and provides for regulation of employment of children in all other occupations and

processes. Employment of child labour is prohibited in Building and Construction

Industry);

Inter-State Migrant Workmen’s (Regulation of Employment and Conditions of

Service) Act, 1979 (the inter-state migrant workers, in an establishment to which

this Act becomes applicable, are required to be provided certain facilities such as

housing, medical aid, travelling expenses from home to the establishment and back,

etc.);

The Building and Other Construction Workers (Regulation of Employment and

Conditions of Service) Act, 1996 and the Cess Act of 1996 (all the establishments

who carry on any building or other construction work and employs 10 or more

workers are covered under this Act; the employer of the establishment is required

to provide safety measures at the building or construction work and other welfare

measures, such as canteens, first-aid facilities, ambulance, housing accommodation

for Workers near the workplace, etc.);

18

The Factories Act, 1948 (the Act lays down the procedure for approval of plans

before setting up a factory, health and safety provisions, welfare provisions,

working hours and rendering information-regarding accidents or dangerous

occurrences to designated authorities);

Hazardous Wastes (Management and Handling) Rules, 1989 (the Rules govern

handling, movement and disposal of hazardous waste);

Manufacture, Storage and Import of Hazardous Chemicals Rules 1989, amended

1994 and 2000 (the Rules provide indicative criteria for hazardous chemicals and

require occupiers to identify major accident hazards and prepare on-site and off-site

emergency plans).

3.5 Applicable World Bank Policies

The Operational Policies of World Bank that are applicable in the project are as under:

TABLE 3.5: SAFEGUARD POLICIES OF WORLD BANK

World Bank

Safe Guard

Policies

Objective Applicability Safeguard

Requirements

OP/BP4.01 Environment Assessment: The objective

of this policy is to help in ensuring that the

projects proposed for World Bank financing

are environmentally sound and sustainable

through Environment Assessment (EA). EA

is a process whose breadth, depth, and type

of analysis depend on the nature, scale, and

potential environmental impact of the

proposed project. EA evaluates a project's

potential environmental risks and impacts in

its area of influence; examines project

alternatives; identifies ways of improving

project selection, siting, planning, design,

and implementation by preventing,

minimizing, mitigating, or compensating

for adverse environmental impacts and

enhancing positive impacts; and includes

the process of mitigating and managing

adverse environmental impacts throughout

project implementation.

Applicable for all

infrastructure

projects under

Namami Gange

programme. The

scale and

detailing of the

EA report

depends largely

upon the project

categorization.

EA report and

ESMP (combined

with social report)

for projects under

DBOT/EPC mode.

Environment and

Social Due

Diligence (ESDD)

for projects under

PPP mode

followed by a

detailed EIA report

during the detailed

design stage.

For High category

projects

19

World Bank

Safe Guard

Policies

Objective Applicability Safeguard

Requirements

OP 4.04:

Natural

Habitats

Natural Habitats: The objective of this

policy is to protect the natural habitats

including the forest areas and wildlife in

order to protect and enhance the environment

which is essential for long-term sustainable

development. World Bank therefore supports

the protection, maintenance, and

rehabilitation of natural habitats and their

functions in its economic and sector work,

project financing, and policy dialogue. The Bank

supports, and expects borrowers to apply, a

precautionary approach to natural resource

management to ensure opportunities for

environmentally sustainable development.

Applicable on

case to case basis

where

disturbance to

forest

areas/natural

habitats are

envisaged to be

impacted from the

projects.

Necessary

requirement

include permission

from competent

authorities in the

state government

as well preparation

of documents for

necessary action

plan to protect the

surrounding

natural

habitats/forest

areas.

OP/BP 4.12 Involuntary Resettlement-The objective of

this policy is to avoid or minimize

involuntary resettlement where feasible,

exploring all viable alternative project

designs. Furthermore, it intends to assist

displaced person in improving their former

living standards; community participation

in planning and implementing resettlement;

and to provide assistance to affected people,

regardless of the legality of title of land

There will be

need for limited

land acquisition

for some sub

projects such as

waste water

treatments or

river front

development

resulting in

relocation or loss

of shelter for non-

titleholders; loss

of assets or access

to assets; loss of

income sources or

means of

livelihood.

Resettlement

Action Plan in

consultation with

the community and

project authorities

OP 4.10 Indigenous People -This policy aims to

protect the dignity, right and cultural

uniqueness of indigenous people; to ensure

that they do not suffer due to development;

This policy is

triggered as some

projects may be

Indigenous Peoples

Plan will be

prepared in

consultation with

20

World Bank

Safe Guard

Policies

Objective Applicability Safeguard

Requirements

that they receive social and economic

benefits

located in tribal

areas.

the community and

project authorities.

21

Section 4 Environment and Social Management

Framework

4.1 Objectives

38 There may be adverse impacts that have to be effectively managed during the planning,

design, construction and operational phases of Namami Gange investments. These

impacts may have the potential to cause major and minor, and reversible and

irreversible societal/community damage; as well as result in project delays, incomplete

implementation, partial achievement of the project development goals and, reputation

risks to various stakeholders. Proper management is therefore necessary for smooth and

effective project implementation.

39 The Objective of Environment and Social Management Framework (ESMF) is to

ensure environmentally sustainable development in NGP’s endeavour of Mission Clean

Ganga by effective management of environmental and social issues in all the

investments with a special focus on the following:

ensure that all investments adhere to the national, state and local regulatory

requirements during the design, implementation and operation stages

ensure that best environmental and social practices are mainstreamed/ integrated

during design, implementation and operation of the investments

strive to enhance environmental conditions wherever feasible

undertake to develop communication strategy, capacity building and training

initiatives for all stakeholders such as the SPMG, EAs, ULBs, NGOs and common

citizens.

4.2 Purpose of the ESMF

40 The purpose of the ESMF is to facilitate the management of environmental and social

issues of the river pollution mitigation investments. At this stage, although the portfolio

of investments has been broadly identified, the specific investment projects, i.e. their

size, type and location, are yet to be identified. Therefore, at this stage it is not possible

to develop specific environment and social management plans for each of the specific

investments. The specific project identification will be a need based/ demand-driven

process, consistent with the overall objectives of ‘Mission Clean Ganga’. The

22

Environment and Social Management Framework (ESMF), therefore, would be used as

an umbrella by the Namami Gange program (the NMCG and SPMGs) and all

implementing agencies while preparing and/ or appraising, approving and executing the

investments.

41 Environmental impacts: There may be adverse environmental impacts for which

mitigation plans are essential. These impacts include direct, indirect, cumulative, and

induced impacts in the project’s area of influence. Each project needs to be scrutinized

as to its type, location, scale, and sensitivity and the magnitude of its potential

environmental impacts. Environmental impacts include those related to the natural

environment (air, water, and land); human health and safety; and trans-boundary and

global environmental aspects. Environmental guidelines – policies and requirements –

seek to avoid, minimize, or mitigate adverse environmental impacts.

42 Social impacts: Project-related social impacts include displacement impacts and

impacts to vulnerable groups. Broadly, this includes physical displacement (relocation,

loss of residential land or loss of shelter) and economic displacement (loss of land,

assets, access to assets, income sources or means of livelihood). If a project directly or

indirectly affects the dignity, human rights, livelihood systems, or culture of SC/ ST/

BPL groups or affects the territories or natural or cultural resources. Social management

plan seeks to avoid, minimize or mitigate these adverse impacts. Related to

displacement impacts, if these adverse impacts cannot be avoided, then affected people

should receive assistance/ compensation so that they are at least as well off as they were

in the absence of the project.

43 Through the ESMF, the SPMGs and the NMCG will also be implementing international

good practices for managing social and environmental issues.

4.3 Screening and categorization of Investments (during the

Feasibility Study stage)

44 Each project is scrutinized as to its type, location, scale, and sensitivity and the

magnitude of its potential environmental impacts. The extent of assessment required to

identify and mitigate the impacts largely depends upon the complexities of project

activities. The scrutiny and screening will be based on a detailed Environment and

Social Screening exercise, summarized in the following Format:

23

TABLE 4.1 SCREENING FORMAT

Environment and Social information format for screening Project Title:

Implementing agency:

Project cost:

Project components:

Project location (Area/ district)

Screening Criteria Assessment

of category

(High/ low)

Explanatory

note for

categorisation

1 Is the project in an eco-sensitive area or adjoining an eco-sensitive

area? (Yes/No) If Yes, which is the area? Elaborate impact

accordingly.

2 Will the project create significant/ limited/ no social impacts?

Involuntary land taking resulting in loss of income from

agricultural land, plantation or other existing land-use.

Involuntary land taking resulting in relocation of title holder or

non-titleholder households.

Any reduction of access to traditional and river dependent

communities (to river and areas where they earn for their primary

or substantial livelihood).

Any displacement or adverse impact on tribal settlement(s).

Any specific gender issues.

3 Will the project create significant / limited / no environmental impacts

during the construction stage? (Significant / limited / no impacts)

Clearance of vegetation/ tree-cover

Direct discharge of construction run-off, improper storage and

disposal of excavation spoils, wastes and other construction

materials adversely affecting water quality and flow regimes.

Flooding of adjacent areas

Improper storage and handling of substances leading to

contamination of soil and water

Elevated noise and dust emission

Disruption to traffic movements

Damage to existing infrastructure, public utilities, amenities etc.

Failure to restore temporary construction sites

Possible conflicts with and/or disruption to local community

Health risks due to unhygienic conditions at workers’ camps

Safety hazards during construction

24

4 Will the project create significant / limited / no environmental impacts

during the operational stage? (Significant / limited / no impacts)

Flooding of adjacent areas

Impacts to water quality due to effluent discharge

Gas emissions

Safety hazards

5 Do projects of this nature / type require prior environmental clearance

either from the MOEF&CC or from a relevant state Government

department? (MOEF&CC/ relevant State Government department/ No

clearance at all)

6 Does the project involve any prior clearance from the MOEF&CC or

State Forest department for either the conversion of forest land or for

tree-cutting? (Yes/ No).

If yes, which?

7 Please attach photographs and location maps along with this completed

Environmental Information Format For Screening.

Overall assessment

*Detailed explanation/ justification for arriving at specific category (high/ low) to be provided in the

specified column

45 The level of impact category (high/ low) shall be determined through a process of

environmental and social screening as described above and shall be provided as part of

the Feasibility Report, and has to be agreed by the SPMG.

45A The NGRBA program as per World Bank safeguard policies is categorized as A.

However, sub-projects are categorized as high / low impact categories where high

impact category project will correspond to Category A and low impact corresponds to

Category B projects as per World Bank’s safeguard operational policy 4.01.

4.3.1 Addressing safeguard issues in projects for retroactive financing

It is likely that some project may be considered for financing retroactively. These projects

shall carry out the following due diligence, prior to the approval for financing under

NGRBA Project.

For each project, Environmental and social screening will be carried out as part of due diligence exercise

using the screening matrix of the Environmental and Social Management Framework of NGRBA

Project (Table 4.1 above), to identify the category of the project. The bank team will follow the

steps as described below:

25

Step 1: As part of the due diligence, NMCG will visit the project area to carry out detailed interactions

with implementing agency, contractors, and consultation with the communities.

Step 2: The project DPR, design, drawings will also be carried out by the team.

Step 3: A report summarizing the findings along with the project profile including baseline, shall be

prepared under following heads:

1. Compliance to the Environmental and social regulatory requirements

2. Issues related to planning and design of the sub project

3. Issues related to construction and OHS

4. Land requirement and acquisition

5. Status of Compensation disbursement

6. Disbursement of R&R Assistances

7. Stakeholders Consultation, documentation and disclosure

8. Grievance redress mechanism

Step 4: The findings including gap analysis with respect to the agreed EMF of NGRBA project shall

be summarised in a tabular form as shown below:

Summary Gap Analysis

The gap analysis matrix from environmental and social safeguard planning and implementation point

of view based on the due diligence study will be summarized as below:

Key Principles and Attributes Gap Remarks

Assessment of environmental Impacts

Implementation of Mitigation and Management Measures

Principle of Avoidance

Linkages with other projects

Involuntary restriction of access to legally designated parks and

protected areas

Recognition of untitled persons such as squatters and encroachers

including customary rights

Avoiding displacement of Indigenous People

Planning

Threshold for Resettlement Plan (RP)

Need to replace / restore CPRs

Consultation and participation of PAPs during project planning

Participation of NGOs in project planning

Cut-off date

Definition of a family for R&R assistance

Need and scope of census and socio-economic surveys

Compensation

Primary Authority for Land Acquisition

Principle to restore/improve living standards

Compensation for land at replacement value

Treatment of depreciation and Salvage

Transaction and transition fee

Land for Land as an option for compensation

Resettlement Assistance

Cash assistance over and above compensation

26

Key Principles and Attributes Gap Remarks

Assistance to poorest of the poor or vulnerable people

Provision of infrastructure and public services at resettlement sites

Implementation

Implementation of RP

Participation of civil society in implementation of RP

Opportunity for PAPs to participate in planning, design and

implementation

Disclosure of Resettlement Plan

Grievance Redressal Mechanism

Procedure for dispute resolution and appeals

Composition of Grievance Redress Committee

Participation of representative of PAPs and civil society

Monitoring

Independent monitoring

Periodic evaluation and monitoring

Step 5: The due diligence report (DDR) will also provide specific recommendations to

ensure compliance with the ESMF.

Step 6: The report will be shared with the Bank, for review and clearance, prior to the

approval of retro-active financing

The final due-diligence report shall follow disclosure requirements, as agreed in the

ESMF and will also be disclosed at World Bank’s Infoshop.

4.3.2 Addressing safeguard issues in projects for PPP Projects:

Under the NGRBA framework, National Mission for Clean Ganga (NMCG) under Namami

Gange programme shall finance commercially viable projects under PPP model. Viable

projects may also include those projects that will become viable after receiving viability gap

funding under a government scheme. The necessary procedures for preparation of safeguard

documents with respect to PPP mode of projects are included in the Addendum-I.

4.4 Addressing environmental and social impacts (during preparation

of the DPR)

4.4.1 High impact categories

46 A proposed investmentwill beclassified as High impact category, if it is likely to impact

(adverse or moderate) the environmental and social aspects of the investments. The

High Category investments will also include all those investments which require the

27

mandatory environmental clearance as per the EIA notification S.O 1533 (E) dated Sept

2006, published by Ministry of Environment and Forests.

47 The investments categorized as ‘High’ would require conducting an Environmental and

Social Assessment (ESA) by an independent agency (other than the agency designing

the project) and the scope of the assessment will be decided based on the nature of the

investment and the environmental and social sensitivity of the area. The ESA shall

examine all the potential negative and positive environmental and social impacts of the

investment, compare them with those of feasible alternatives (including the "without

investment" situation), and recommend any measures needed to prevent, minimize,

mitigate, or compensate for adverse impacts and improve environmental performance.

48 The ESA may include (a) a detailed description of the environmental and social

condition of the project area; (b) an assessment of the potential impacts; (c) formulation

of mitigation measures; and (d) preparation of an Environment and Social Management

Plan. The ESA report will contain the following chapter scheme: (1) Introduction; (2)

Description of the project; (3) Description of the environment; (4) Alternatives; (5)

Anticipated environmental and social impacts and mitigation measures; (6) Socio-

economic assessment; (7) Environmental and Social Management Plan; (8) Public

consultation and disclosure; and (9) Conclusions.

4.4.2 Resettlement Policy and Land Acquisition Framework (RPLAF)

49 NMCG has developed an Entitlement Matrix, which is in line with Right to Fair

Compensation and Transparency in Land Acquisition, Rehabilitation & Resettlement

2013 other applicable laws and Acts of the Government of India to address the issues

related with affected persons.

R&R will be undertaken as per the entitlement matrix or State R&R policy where

applicable, to address the issues related to the resettlement and rehabilitation of the

affected persons.

This aims to resettle and rehabilitate the affected persons on account of its investments

in a manner that they do not suffer from adverse effects and shall improve or at the

minimum retain their previous standard of living, earning capacity and production

levels. It is also the endeavour of the Namami Gangeprogram that the resettlement shall

minimize dependency and be sustainable socially, economically and institutionally.

28

Special attention will be paid for the improvement of living standards of marginalized

and vulnerable groups.

The broad principles of the R&R policy are as below:

The adverse impacts on persons affected by the project would be avoided to the

extent possible.

Where the adverse impacts are unavoidable, the project-affected persons will be

assisted in improving or regaining their standard of living. Vulnerable groups will

be identified and assisted to improve their standard of living.

All information related to resettlement preparation and implementation will be

disclosed to all concerned, and community participation will be ensured in planning

and implementation.

Private negotiations will also be used for land acquisition as required.

The persons affected by the project who does not own land or other properties but

who have economic interest or lose their livelihoods will be assisted as per the broad

principles brought out in this policy.

Before taking possession of the acquired lands and properties, compensation and

R&R assistance will be made to those who are available and willing to receive the

entitlements in accordance with this policy.

There would be no/or minimum adverse social, economic and environmental effects

of displacement on the host communities but if needed specific measures would be

provided.

Broad entitlement framework of different categories of project-affected people has

been assessed and is given in the entitlement matrix. Provision will be kept in the

budget. However, anyone moving into the project area after the cut-off date will not

be entitled to assistance.

Appropriate grievance redress mechanism will be established at project level to

ensure speedy resolution of disputes.

All activities related to resettlement planning, implementation, and monitoring

would ensure involvement of women. Efforts will also be made to ensure that

vulnerable groups are included.

All consultations with PAPs shall be documented. Consultations will continue

during the implementation of resettlement and rehabilitation works.

29

Cut of Date shall be preliminary notification under RFCTLAR&R Act 2013 for

titleholders and in case of Non-title holder’s end date of socio –economic survey.

As required, a Resettlement Action Plan will be prepared including a fully itemized

budget and an implementation schedule.

Preparation of Resettlement Action Plans

50 Having identified the potential impacts of the relevant investments, the next step is to

develop action plans to mitigate the impacts. The RAPs will provide the link between

the impacts identified and proposed mitigation measures to realize the objectives of

involuntary resettlement. The investment specific RAP will take into account

magnitude of impacts and accordingly prepare a resettlement plan that is consistent with

this framework before the sub-project is accepted for Namami Gangeprogram

financing. Any affected person will be assisted as provided in the National Policy or

State Policy where applicable on resettlement and rehabilitation.

a) The above plan will be prepared as soon as subproject is finalized, prior to

NMCG/SPMG’s approval of corresponding civil works bid document.

b) Investments that are not expected to have any land acquisition or any other

significant adverse social impacts; on the contrary, significant positive social impact

and improved livelihoods are exempted from such interventions.

Sub Project Approval

51 In the event that a subproject involves land acquisition against compensation or loss of

livelihood or shelter, the implementing agency shall:

a) not approve the subproject until a satisfactory RAP has been prepared and shared

with the affected person and the local community; and

b) not allow works to start until the compensation and assistance has been made

available in accordance with the framework.

Procedure to be followed for Social Impact Assessment (SIA)

52 The EA will undertake a survey for identification of the persons and their families likely

to be affected by the project. Every survey shall contain the following municipality or

ward / village-wise information of, the project affected families:

30

i. members of families who are residing, practicing any trade, occupation or vocation

in the project affected area;

ii. Project Affected Families who are likely to lose their house, commercial

establishment, agricultural land, employment or are alienated wholly or

substantially from the main source of their trade occupation or vocation or losing

any other immovable property.

iii. Agricultural labourers and non-agriculture labourers.

iv. Families belonging to scheduled caste and scheduled tribe categories

v. Vulnerable persons such as the disabled, destitute, orphans, widows, unmarried

girls, abandoned women, or persons above the age of 50 years of age, who are not

provided or cannot immediately be provided with alternative livelihood, and who

are not otherwise covered as part of a family;

vi. Families that are landless (not having homestead land, agriculture land or ether

homestead or agriculture land) and are below poverty line, but residing

continuously for a period of not less than three years in the affected area preceding

the date of declaration of the affected area;

vii. Losing access to private property or common property resources

53 The EA on completion of the survey will disseminate the survey results among the

affected community. Based on the social impact assessment survey, EA will prepare an

action plan to mitigate or minimize the adverse impacts as identified during the survey.

The draft mitigation plan in form of resettlement action plan (RAP) will be again

disseminated among the affected individuals/ community. The feedback received from

the affected groups will be incorporated to the extent possible before finalization of the

RAP.

54 Every-draft Resettlement Action Plan (RAP) prepared shall contain the following

particulars namely.

a) the extent of area to be acquired for the project, the name(s) of the corresponding

village(s)/ municipality area and the method employed for acquiring land with the

relevant documentation.

b) village wise or municipality wise list of affected families and likely number of

displaced persons by impact category

31

c) family-wise and the extent and nature of land and immovable property in their

possession indicating the survey numbers thereof held by such persons in the

affected zone;

d) Socio-economic survey of affected people including income/asset survey of APs.

e) a list of agricultural labourers in such area and the names of such persons whose

livelihood depend on agricultural activities;

f) a list of persons who have lost or are likely to lose their employment or livelihood

or who have been alienated wholly and substantially from their main sources of

occupation or vocation consequent to the acquisition of land and / or structure for

the project;

g) information on vulnerable groups or persons for whom special provisions may have

to be made;

h) a list of occupiers; if any

i) a list of public utilities and Government buildings which are likely to be affected;

j) a comprehensive list of benefits and packages which are to be provided to project

affected families by impact category;

k) details of the extent of land available which may be acquired in settlement area for

resettling and allotting of land to the project affected families;

l) details of the basic amenities and infrastructure facilities which are-to be provided

for resettlement;

m) the entitlement matrix;

n) the time schedule for shifting and resettling the displaced families in resettlement

zones;

o) grievance redressal mechanism;

p) institutional mechanism for RAP implementation;

q) monitoring and evaluation indicators and mechanism;

r) budget; and

s) Any other particulars as the Administrator for Resettlement and Rehabilitation may

think fit to include for the information of the displaced persons.

Land Acquisition, R&R Benefits for Affected Families

55 In case land/house is acquired, as per Right to Fair Compensation and Transparency in

Land Acquisition, Rehabilitation and Resettlement (RFCTLAR&R) Act, 2013 the

compensation will be paid to the land holders/house owners and the resettlement and

32

rehabilitation (R&R) benefitsshall be extended to all the affected families as per

provisions of the Act or state R&R Policies,where applicable and entitlement

framework of this ESMF. Any affected and/ or displaced family/ person will be assisted

as per the provisions of the RFCTLAR&R Act 2013 and/or state R&R Policies

wherever applicable.

56 Value of land to be determined as per various sections of the RFCTLAR&R Act, 2013

namely:

Section 11 (1) publication of preliminary notification

Section 26 (Market value of the land)

Section 28 (parameters to be considered for market value)

Section 29 (determination of value of attached things to the land).

Section 30 (award of solatium)

Project will be guided by First Schedule of RFCTLAR&R Act, 2013 for determination

of land value.

In case of land purchase through private negotiation, section 46 of RFCTLAR&R Act

2013 will be applicable. Project may also use any state specific instrument for direct

purchase of land.

57 Provisions for R&R at the community level will be as follows:

The common property resources and the community infrastructure shall be relocated in

consultation with the community.

During construction phase alternative access shall be provided in case of loss of access

to private land / or common resource property.

58 Any unforeseen impacts shall be document and mitigated based on the principles agreed

upon in policy Guideline.

The following is the entitlement matrix, as per RFCTLAR&R Act, 2013:

TABLE 4.2 ENTITLEMENT MATRIX

Type of Impact/Loss Unit of

Entitlement

Entitlements as per Policy

1 Agricultural Land

Acquisition of agricultural

land

Land Holder Cash compensation as defined in First Schedule of

RFCTLAR&R Act, 2013 or any state policy

33

Type of Impact/Loss Unit of

Entitlement

Entitlements as per Policy

Where jobs are created through the project, after providing

suitable training and skill development in the required field,

make provision for employment at a rate not lower than the

minimum wages provided for in any other law forthe time

being in force, to at leastone member per affected family in

the project or arrange for ajobin such other project as may

berequired; orone- time payment of fivelakhs rupees per

affected family; or(c) annuity policies that shall paynot less

than two thousandrupees per month Per family for twenty

years with appropriateindexation to the Consumer PriceIndex

for Agricultural Labourers (RFCTLARR Act, 2013, Second

Schedule – clause4).

In case of a project involving land acquisition on behalf of a

acquiring body, each affected family which is involuntarily

displaced shall get a monthly subsistence allowance

equivalent to three thousand rupees per month for a period of

one year from the date of award. (RFCTLARR, 2013 –

Second schedule; clause 5 para 1)

Each affected family that is displaced and has cattle, shall get

financial assistance of such amount as the appropriate

Government may decide but not less than Twenty Five

thousand rupees, for construction of cattle shed.

(RFCTLAR&R Act, 2013 Second Schedule clause)

Each affected family shall be given a one-time resettlement

allowance of fifty thousand rupees only (RFCTLARR, 2013

– Second schedule; clause 10)

In case of a project involving land acquisition on behalf of an

acquiring body, the stamp duty and other fees payable for

registration of the land or house allotted to the affected

families shall be borne by the acquiring body. The land for

house allotted to the affected families shall be free from all

encumbrances. The land or house allotted may be in the joint

names of wife and husband of the affected families

(RFCTLAR&R Act, 2013. Second Schedule – clause 11).

2 House

i) Acquisition of House

Affected Family

If a house is lost in rural area, a constructed house shall be

provided as per the Indira Awas Yojana specifications. If a

house is lost in urban area, a constructed house shallbe

provided, which will be notless than 50 sq mts in plinth area

(RFCTLAR&R Act, 2013. Second Schedule – Clause 1 para

1).

Provided that any such family in urban areas which opts not to

take the house offered, shall get a one-time financial assistance

for house construction, which shall not be less than one lakh

fifty thousand rupees (RFCTLAR&R Act, 2013. Second

Schedule – Clause 1 para 3).

Provided further that if any affected family in rural areas so

prefers, the equivalent cost of the house may be offered in lieu

34

Type of Impact/Loss Unit of

Entitlement

Entitlements as per Policy

of the constructed house (RFCTLAR&R Act, 2013. Second

Schedule – Clause 1 para 4).

Each affected family which is displaced from the land

acquired shall be given a monthly subsistence allowance

equivalent to three thousand rupees per month for a period of

one year from the date of award (RFCTLARR, 2013 –

Second schedule; clause 5 para 1).

Right to salvage material from the demolished structures

Three months’ notice to vacate structures

One-time financial assistance of such amount as the

appropriate Government may decide but not less than fifty

thousand rupees, for shifting of the family, building materials,

belongings and cattle. (RFCTLARR, 2013 – Second

schedule; clause 6)

Each affected family that is displaced and has cattle, shall get

financial assistance of such amount as the appropriate

Government may decide but not less than Twenty Five

thousand rupees, for construction of cattle shed.

(RFCTLARR, 2013 – Second schedule; clause 7)

Each affected person who is rural artisan, small trader or self-

employed person who has been displaced shall get a one-time

financial assistance of such amount as the appropriate

Government may decide but not less than (Rs. 25,000/-)

twenty-five thousand rupees, for construction of working shed

or shop. (RFCTLARR, 2013 – Second schedule; clause 8)

Each affected family shall be given a one-time resettlement

allowance of fifty thousand rupees only(RFCTLARR, 2013

– Second schedule; clause 10)

In case of a project involving land acquisition on behalf of an

acquiring body, the stamp duty and other fees payable for

registration of the land or house allotted to the affected

families shall be borne by the acquiring body. The land for

house allotted to the affected families shall be free from all

encumbrances. The land or house allotted may be in the joint

names of wife and husband of the affected families

(RFCTLAR&R Act, 2013. Second Schedule – clause 11).

iii)BPL without homestead

land and residing in the area

for not less than three years

Affected Family

Has been residing in the affected area continuously for a

period of not less than three years preceding the date of

declaration of the affected areaand which has been

involuntarily displaced from such area, shall be entitled

If a house is lost in rural area, a constructed house shall be

provided as per the Indira Awas Yojana specifications. If a

house is lost in urban area, a constructed house shall be

provided, which will be not less than 50 sq mts in plinth

35

Type of Impact/Loss Unit of

Entitlement

Entitlements as per Policy

area (RFCTLAR&R Act, 2013. Second Schedule –

Clause 1 para 1).

Provided that any such family in urban areas which opts not

to take the house offered, shall get a one-time financial

assistance for house construction, which shall not be less

than one lakh fifty thousand rupees (RFCTLAR&R Act,

2013. Second Schedule – Clause 1 para 3).

Provided further that if any affected family in rural areas so

prefers, the equivalent cost of the house may be offered in

lieu of the constructed house (RFCTLAR&R Act, 2013.

Second Schedule – Clause 1 para 4).

Right to salvage material from the demolished structures

Three months’ notice to vacate structures

One-time financial assistance of such amount as the

appropriate Government may decide but not less than fifty

thousand rupees, for shifting of the family, building materials,

belongings and cattle. (RFCTLARR, 2013 – Second

schedule; clause 6)

3 Livelihood losses

i) Rural artisan, small trader

or self-employed

Person displaced

Each affected

person

Will get a one-time financial assistance of such amount as the

appropriate Government may decide but not less than (Rs.

25,000/-) twenty-five thousand rupees, for construction of

working shed or shop. (RFCTLAR&R Act, 2013. Second Schedule

– clause 8)

ii) Employment Assistance Affected Family Where jobs are created through the project, after providing

suitable training and skill development in the required field.

make provision for employment at a rate not lower than the

minimum wages provided for in any other law for the time being

in force, to at least one member per affected family in the project

or arrange for a job in such other project as may be required

(RFCTLAR&R Act 2013, Second Schedule, Clause 4(a).;

The acquiring body shall give preference to the affected persons

ortheir groups or cooperatives in the allotment of outsourced

contracts,shops or other economic opportunities coming up in or

around theproject site; and

The acquiring body shall give preference to willing landless

labourersand unemployed affected persons while engaging

labour in theproject during the construction phase

4 Other Benefits

i) Additional assistance for

Scheduled Caste and

Scheduled Tribe families

Affected Family As far as possible, no acquisition of land shall be made in the

Scheduled Areas. Where such acquisition does take lace it shall

be done only as a demonstrable last resort. (RFCTLAR&R Act,

2013 section 41 (1) and (2).)

In case of acquisition or alienation ofany land in the Scheduled

Areas, the prior consent of the concerned Gram Sabha or the

Panchayats or the autonomous District Councils, at the

36

Type of Impact/Loss Unit of

Entitlement

Entitlements as per Policy

appropriate level in Scheduled Areas under the Fifth Schedule

to the Constitution, as the case may be, shall be obtained. in all

cases of land acquisition in such areas, including acquisition in

case of urgency, before issue of a notification under this Act, or

any other central Act or a state Act for the time being in force

(RFCTLAR&R Act, 2013 section 41 (3)).

ln case of a project involving land acquisition on behalf of a

Requiring Body which involves involuntary displacement of the

Scheduled Castes or the Scheduled Tribes families, a

Development Plan shall be prepared, in such form as may be

prescribed. laying down the details of procedure for settling land

rights due, but not settled and restoring titles of the Scheduled

Tribes as well as the Scheduled Castes on the alienated land by

undertaking a special drive together with land acquisition

(RFCTLAR&R Act, 2013 section 41 (4)).

Where the affected families belonging to the Scheduled Castes

and the Scheduled Tribes are relocated outside of the district

then, they shall be paid an additional twenty-fiveper cent

rehabilitation andresettlement benefits to which they are entitled

in monetaryterms along with a one-time entitlement offifty

thousand rupees(RFCTLAR&R Act, 2013 section 41 (11)).

Provided that in every project those persons losing land and

belonging to the Scheduled Castes or the Scheduled Tribes will

be provided land equivalent to land acquired or two and a one-

half acres, whichever is lower (RFCTLAR&R Act 2013,

Second Schedule; clause 2)

ln addition to subsistence allowance of INR 50,000,

theScheduled Castes and theScheduled Tribes displaced

fromScheduled Areas shall receive anamount equivalent to fifty

thousand rupees.(RFCTLAR&R Act, 2013, Second Schedule,

, clause 5, para 2)

In cases of displacement from the Scheduled Areas, as far as

possible, the affected families shall be relocated in a similar

ecological zone, so as to preserve the economic opportunities'

language, culture and community life ofthe tribal communities.

(RFCTLAR&R Act 2013, clause 5 para 3)

ii)One time Resettlement

allowance

Any Affected

family not

already covered

under clause 2

(iii)

Shall be entitled to one time resettlement allowance of fifty

thousand rupees (RFCTLAR&R Act 2013, Second Schedule

clause 10).

5 Exemptions from stamp duty etc.

37

Type of Impact/Loss Unit of

Entitlement

Entitlements as per Policy

In case of a project involving land acquisition on behalf of an

acquiring body, the stamp duty and other fees payable for

registration of the land or house allotted to the affected families

shall be borne by the acquiring body. The land and house allotted

will be in the joint names of wife and husband of the affected

families. The land for house allotted to the affected family shall

be free from all encumbrances (RFCTLAR&R Act, 2013 clause

11)

6 Trees and standing crops

Trees on land being acquired Land holders Marketvalueof the trees to becomputedas per the provisions

of Horticulture and Forest Department.

Standing crops at the time of

acquisition , if any

Land holders Advance notice to harvest crops

Market value of standing crops to be computed as per

provisions of Agriculture Department.

Please note that this is bare minimum and Project should also consider the additional R&R provisions

given in state specific policy / rules.

59 According to the assessment of the preliminary list of prioritized works, there may be

need for private land acquisition in some cases which could result in involuntary

displacement and loss of livelihood. However, project involuntary resettlement is likely

to be of small scale and would not trigger the need for a full resettlement action plan.

Nevertheless, as a precaution, the classification of subprojects of the ESMF describes

actions and procedures to be followed in case any involuntary displacement does occur.

In the event that involuntary displacement takes place, the principles and procedures

defined in the Framework will apply.

60 Once the location of the works is known during project implementation, individual

resettlement or land acquisition plans will be prepared for each sub-project. The

Resettlement Action Plans will be reviewed and approved by SPMG/ NMCGbefore

being implemented.

61 During DPR preparation, analysis of alternatives will be carried out to avoid or reduce

involuntary acquisition of private land.

Immediately after FR approval and in parallel with DPR preparation, the EA along with

the ULB would initiate land acquisition process for the project. This would facilitate

identification of the land, its survey and preliminary cost estimation so that the State

Govt. is in readiness to issue the appropriate notification under prevalent LA Act upon

approval of DPR for speedy acquisition of the land.

38

4.4.3 Tribal Management Framework (TMF)

62 Though to the extent possible, private land owned by a tribal family will not be

acquired, as part of ESMF, a Tribal Management Framework (TMF) is being prepared.

The TMF aims at effectively promoting participation of tribal families throughout the

project cycle. The general objective of the TMF is the inclusion of tribal communities

in the project in order to achieve the highest possible positive impact of the

interventions to improve their quality of life, throughout strengthening of their

organization, self-management, and integral capacity of their members. The specific

objectives are to ensure that: (a) works are culturally appropriate (b) works and services

provided do not inadvertently induce inequality by limiting project benefits to the elite

elements of the community, (c) the project engages with communities through a

consultation process appropriate to the local cultural context and local decision making

process; and (d) establish appropriate information-, communication-, and diversity-

training strategies with the different TPs and communities in all stages of the project.

Objectives

The principal objectives of the framework are to:

(i) Ensure that project engages in free, prior, and informed consultation with the

tribal community wherever they are affected.

(ii) ensure that project benefits are accessible to the tribal community living in the

project area

(iii) avoid any kind of adverse impact on the tribal community to the extent possible

and if unavoidable ensure that adverse impacts are minimized and mitigated

(iv) ensure tribal peoples participation in the entire process of preparation;

implementation and monitoring of the sub project activities

(v) minimize further social and economic imbalances within communities; and

(vi) Develop appropriate training / income generation activities in accordance to

their own defined needs and priorities.

63 The grievance if any will be addressed as per the Scheduled Tribes and Other

Traditional Forest Dwellers (Recognition of Forest Rights) Act, 2006, which recognizes the

rights of forest-dwelling Scheduled Tribes and other traditional forest dwellers over the forest

areas inhabited by them and provides a Guideline for it.

39

4.4.4 Gender Assessment and Development

64 Gender Development plan is being designed under the project as part of ESMF which

will help analyze gender issues during the preparation stage of sub project and design

interventions. At the sub project level, gender analysis will be part of the social

assessment and the analysis will based on findings from gender specific queries during

primary data collection process and available secondary data. The quantitative and

qualitative analysis will bring out sex disaggregated data and issues related to gender

disparity, needs, constraints, and priorities; as well as understanding whether there is a

potential for gender based inequitable risks, benefits and opportunities. Based on the

specific interventions will be designed and if required gender action plan will be

prepared. The overall monitoring framework of the project will include sex

disaggregated indicator and gender relevant indicator.

The participation of beneficiaries and focus on poverty reduction are two other key

determinants of the effectiveness and sustainability of any project. Any project must

address the constraints on women’s participation in project design, construction,

operation and maintenance (O & M), training, and monitoring and evaluation (M & E).

The project must also focus on the linkage between gender and poverty, by identifying,

for example, households headed by females and those households’ special needs. An

adaptive, learning, and process-oriented approach works better than a blue print

approach; continuous dialogue between the EA and the beneficiaries is therefore

important. Project beneficiaries are likely to have a stronger sense of ownership when

the project gives them enough time, design flexibility, and authority to take corrective

action. In this way, they find it easier to incorporate their earlier learning and negotiate

with project staff and service providers. Therefore, a mechanism must be built into the

project to allow such two-way interactions between the beneficiaries and the service

providers.

Gender analysis will be an integral part of the initial social assessment at the screening

stage itself. The issues identified can be scaled up during the feasibility and detailed

analysis can be carried out during the DPR stage.

65 The project designs should be gender responsive based on the gender analysis, and

should be included in the DPR The findings and recommendations from the gender

40

analysis during project planning and feedback from beneficiaries during

implementation must be discussed thoroughly to determine the need for further action.

Listed below are the key action points:

66 Develop a feedback mechanism in which both male and female have a voice. Identify

organizations that could facilitate women’s participation during implementation and M

& E.

67 Document the gender-responsive design features in the DPR and include covenants in

the loan agreement to ensure gender-sensitive project design mechanisms to be

complied by the executing agency

4.4.5 Consultation and Information Disclosure

Consultation

68 The Consultation process envisages involvement of all the stakeholders’ at each stage

of project planning and implementation. The EA /NMCG will be responsible for

ensuring participation of the community at sub-project level. Involvement of the

community is not limited to interactions with the community but also disclosing

relevant information pertaining to the project tasks. Community participation shall be

undertaken at the following stages:

Sub Project identification stage - to sensitize the community about the project and their role;

Planning Stage - for disseminating information pertaining to the project, work schedule and

the procedures involved; finalisation of project components with identification of impacts,

entitled persons, mitigation measures; and Grievance Redressal; and

Implementation Stage - for addressing temporary impacts during construction and

monitoring for transparency in the project implementation

Identification Stage

69 Dissemination of project information to the community and relevant stakeholders is to

be carried out by the EA at this stage of the project initiative. The community at large

shall be made aware of the project alternatives and necessary feedback is to be

obtained. This should include the process being followed for prioritisation of the

identified investments. Community and other stakeholders should be involved in the

decision making to the extent possible. Information generated at this stage should be

documented for addressal of queries arising out of the Right to Information Act, 2005.

41

Project Planning Stage

70 Sub-project information is to be distributed amongst the community towards increasing

their awareness and their roles and responsibilities. Planning stage is intended to be an

interactive process with the community at least in two stages. Initially while finalizing

the best fit alternative to a sub-project and second at the finalisation of the detailed

designs. This would be ajoint responsibility of the consultants undertaking the design

if not carried out by the EA in house and the EA itself.

71 Consultations with Project Affected Persons and their profiling are mandatory as per

the requirements of SIA and preparation of RAP. This needs to be done as socio-

economic and census surveys as part of the detailed designs. Consultations with respect

to and cultural aspects are to be carried out as part of the Social Impact Assessments

for all alternatives and the selected alternative sub-project option.

Implementation Stage

72 Consultations as part of the implementation stage would be direct interactions of the

implementation agency with the Project Affected Persons. These would comprise of

consultations towards relocation of the PAPs, relocation of cultural properties, and

towards addressal of impacts on common property resources (CPRs) such as water

bodies, places of religious importance, community buildings, trees etc.

73 With the implementation of the R&R provisions in progress, consultations and

information dissemination is to be undertaken to let the affected persons informed of

the progress. Implementation stage also involves redressal of grievances in case of

R&R aspects as well as relocation of common property resources through the grievance

redressal mechanisms. These would usually be one to one meeting of PAP or

community representatives with the grievance redressal committees established for the

project.

Information Disclosure

74 The mechanism of information dissemination should be simple and be accessible to

all. Two of the important means that have been followed until now include briefing

material and organization of community consultation sessions. The briefing material

42

(all to be prepared in local language) can be in the form of (a) brochures (including

project information, land requirements and details of entitlements including

compensation and assistance to be given to the PAPs) that can be kept in the offices of

local self-government (municipal office in case of urban area and gram panchayat

office in case of rural area) and EA;(b) posters to be displayed at prominent locations

and (c) leaflets that can be distributed in the impacted zone of the sub project.

Consultation meetings should also be organized at regular intervals by the EA to

acquaint the PAPs of the following:

Timeline and progress of the project;

Information on compensation and entitlements;

Information on land acquisition and market valuations of property;

Time line for acquisition.

75 Also, opinion and consensus of the community needs to be sought for common and

cultural property relocation. Information disclosure procedures are mandated to

provide citizen centric information as well as all documentation necessary for

addressing any queries under Right to Information Act that came into effect from

October 2005. Disclosure of information will enhance governance and accountability

specifically with respect to strengthening of monitoring indicators to help Namami

Gange program.

76 This Information Disclosure Policy is intended to ensure that information concerning

the Namami Gange program, activities will be made available to the public in the

absence of a compelling reason for confidentiality. Information shall be provided in a

timely and regular manner to all stakeholders, affected parties, and the general public.

Access by the public to information and documentation held or generated by

NMCGand EAs will facilitate the transparency, accountability, and legitimacy as well

as operations overseen by it. As a part of its disclosure policy, all documents shall be

made available to the public in accordance with relevant provisions of the RTI Act,

except when otherwise warranted by legal requirements. A designated Information

Officer shall be responsible for ensuring timely and complete dissemination in

accordance with this policy.

Information to be disclosed

43

77 The Table below specifies the type of additional information and frequency of

dissemination for investments which are financed either from domestic or donors’

funds. In addition to the information specified in the table, the following information

shall also be displayed / disseminated, wherever applicable.

Project specific information need to be made available at each contract site through public

information kiosk

Hard copy of the ESAMP and RAP shall be placed at construction site and also at SPMG

office. Community will be informed about the same during finalization of RP / ESMP

and through social intermediation process”.

Project Information brochures shall be made available at all the construction sites as well

as the office of implementation agency and the office of Engineer in charge.

Reports and publications, as deemed fit, shall be expressly prepared for public

dissemination e.g., English versions of the SIA and RAP and Executive Summary of SIA

and RAP in local language.

Wherever civil work will be carried out a board will be put up for public information

which will disclose all desired information to the public, for greater social accountability.

All information will be translated into local language and will be disclosed to the public

through the Panchayat, District Magistrate’s office, concerned EA offices, websites of

NMCGand SPMGs.

44

TABLE 4.3 INFORMATION TO BE DISCLOSED

Topic Documents to be

disclosed

Frequency Where

Resettlement,

Rehabilitation

and Land

Acquisition

Resettlement Action

Plan (RAP).

Once in the entire

project cycle. But

to remain on the

website and other

disclosure locations

throughout the

project period.

On the website of NMCG,

SPMG and EAs

The client would make the

RAP available at a place

accessible to displaced

persons and local NGOs, in a

form, manner, and language

that are understandable to the

PAPs in the following offices:

DM’s Office

State and District Libraries

Local municipal and gram

panchayat office

Office of the contractor

Office of the EA

Resettlement &

Rehabilitation

Policy translated in

local language

Once in the entire

project cycle.

Distributed among Project

Affected Persons (PAP)

Information

regarding impacts

and their

entitlements in local

language

Once at the start of

the project and as

and when demanded

by the PAP.

Through one-to-one contact

with PAPs.

Community consultation

List of PAPs with impacts

and entitlements to be pasted

in the EA office and website

of SPMG and EAs

R&R and LA

monthly progress

report.

10th day of every

month

Website of EA.

Hard copy in the office of EA

and contractor in local

language

RAP Impact

Assessment Report

At midterm and end

of the RAP

implementation

NMCG, SPMG and EA’s

website in local language.

Land Acquisition

notifications

As required under

the LA Act

SPMG and EA’s website.

Hard copy in the office of EA

and contractor in local

language

45

Topic Documents to be

disclosed

Frequency Where

Grievance redressal

process.

Continuous process

throughout the

project cycle.

On the web sites of NMCG,

SPMG, EAs

Hard copies in local language

in the following offices:

DM’s Office

Local municipal and gram

panchayat office

Office of the contractor

Office of the EA; Also

PAPs to be informed on one

to one contact by EAs

Public

Consultation

Minutes of Formal

Public Consultation

Meetings

Within two weeks

of meeting

On the web sites of

NMCG/SPMG, EAs

Hard copies in local language

in the following offices:

DM’s Office

Local municipal and gram

panchayat office

Office of the contractor

Office of the EA

Stakeholder mapping

78 Through the formal and informal consultation, following stakeholder mapping has

been done, identifying their interests concerned with the project activities.

TABLE 4.4 STAKEHOLDER MAPPING

Stakeholder Category Interests Potential/Probable

impacts

Primary stakeholders

Project affected people Access to the facility, Project

entitlement, Time-bound delivery

of benefits, enhanced quality of

life

(+/-)

Beneficiaries Access to the facility, Project

entitlement, Time-bound delivery

of benefits, enhanced quality of

life

(+/-)

Secondary stakeholders

46

NMCG; SPMG; Municipalities; EAs (For e.g.,

Uttarakhand Peyjal Nigam, UP Jal Nigam, Bihar

Urban Infrastructure Development Corporation,

Urban Development Department, Kolkata

Metropolitan Development Authority)

Project implementation,

Contracting; Project management,

Monitoring and evaluation

(+/-)

NGOs, CSOs, Research institutes (GB Pant

Institute of Himalayan Environment and

Development, PSI, Shree Hari Ganga Samiti, IIT

Kanpur, Ganga Sewak Samaj, WWF, CEE, Centre

for flood management studies, Krishi Gram Vikas

Kendra, IIT Kharagpur, Calcutta University,

Ramakrishna Mission)

Development, Community

participation, and Community

welfare

(+/-)

This is a tentative mapping is likely to change during the project implementation. Each of these

stakeholders will be part of the consultation process and their views will be incorporated in to

the project design. The key stakeholders in can be grouped into two categories viz., primary

and secondary. Their respective roles are presented below:

Primary Stakeholders

79 Project Affected Persons (PAPs) have the following roles:

i) Participate in public meetings and identify alternatives to avoid or minimise

displacement

ii) Assist DPR consultants and NGOs in developing and choosingalternative

options for relocation and income generation

iii) Participate in census survey and meetings with host population

iv) Provide inputs to entitlement provisions, thus assisting in preparation of the

resettlement action plan

v) Participate in grievance redress as members of grievance redress cells (GRC)

vi) Decide on relocation and management of common properties

vii) Labour and other inputs in the project

viii) Members of implementation committee

80 Beneficiaries and Host Populationhas the following roles:

i) Assist DPR consultants and NGOs in data collection and design

ii) Provide inputs to site selection

iii) Identify possible conflict areas with PAPs

iv) Identify social and cultural facilities needed at resettlement sites

47

v) Assist in identification and design inputs for IG schemes

vi) Help develop consultation process between hosts and PAPs.

vii) Manage common property

viii) Participate in local committees.

ix) Assist PAPs in integration with hosts.

Secondary Stakeholders

81 NMCG, SPMGs, EAs, Municipalities have the following roles:

i) Establish separate cell for social development

ii) Notification at various stages for land acquisition and joint measurement of land

to be acquired along with the revenue department

iii) Design and approval of resettlement policy

iv) Coordinate with line departments such as telephone, state electricity board,

public health engineering department and forest department for shifting of

utilities and cutting of trees

v) Participate with NGOs in verification survey of PAPs and categorisation of

PAPs

vi) Participate in consultations with PAPs and beneficiaries

vii) Designing and distribution of ID cards along with NGO

viii) Coordinate and facilitate relocation of displaced persons including designing

and construction of resettlement colony / vendor market; provision of basic

amenities; distribution of plots / houses / to residential and/or commercially

displaced persons

ix) Coordinate with NGO in identifying land for relocation of common property

resources

x) Coordinate with civil construction contractor to relocate common property

resources

xi) Permission and liaison with line departments for provision of basic amenities in

resettlement colonies, land acquisition and income restoration schemes;

xii) Coordinate with revenue department for facilitating disbursement of

compensation and resettlement and rehabilitation assistances

xiii) Monitoring of physical and financial progress

xiv) Approval of micro plans

xv) Participate in training programmes for income restoration organized by NGOs

48

xvi) Consult with panchayat and block office to facilitate inclusion of PAPs’ name

for poverty alleviation schemes of government of India.

82 NGOs have following roles:

i) Develop rapport with PAPs and between PAPs and EAs

ii) Verification of PAPs

iii) Consultations with the community

iv) Assess the level of skills and efficiency in pursuing economic activities, identify

needs for training and organise programmes either to improve the efficiency

and/or to impart new skills

v) Assist PAP in receiving rehabilitation entitlements due to them

vi) Motivate and guide PAP for proper utilisation of benefits under R&R policy

provisions

vii) Assist PAPs in obtaining benefits from the appropriate development

programmes.

viii) Help PAPs in increasing their farm income through provision of irrigation

facility or improving farm practices, and

ix) Ensure marketing of produce particularly those under self-employment

activities.

x) Complete the consultation at the community level and provide support by

describing the entitlements to the entitled persons (EPs) and assisting them in

their choices

xi) Accompany and represent the EPs at the Grievance Redress Committee

meeting.

xii) Assist EPs to take advantage of the existing government housing schemes and

employment and training schemes that are selected for use during the project,

and

xiii) Promote location specific Community Based Organisations (CBOs) of PAPs to

handle resettlement planning, implementation and monitoring.

xiv) Create awareness among PAPs of HIV/AIDS, trafficking of women and child,

childlabour, health and hygiene,

4.4.5 Low impact categories

83 Low impact category investments are those which are likely to cause minimal or no

adverse environmental impacts on human populations or the physical environment. The

49

impacts in case of low category investments are largely localized and are temporary in

nature. In such cases, detailed ESA would not be required.

84 These investments would require the preparation of an Environmental and Social

Mitigation Plan as a part of the DPR either as a separate chapter or a volume (as

needed), analysing the environmental and social issues and providing the corresponding

mitigation measures. There will also be a separate section in the summary of the

document mentioning the key mitigation measures proposed through the ESMP.

A Guidance Note for carrying out ESA is provided in Annex I, and anoutline

Environment and Social Management Plan for low impact category investments is

provided in Annex II. However, during the project preparation, these measures shall be

validated with actual site conditions and updated to make these more project-specific.

All ESAs, ESMPs, and RAPs of all investments will be shared with the SPMGsfor

review and clearance. The NMCG and SPMGs may obtain expert opinion as necessary

for reviewing environmental and social screening, ESAs, ESMPs and RAPs.

85 The EA/DPR consultant will prepare the ESMP in accordance with the specifications

and conditions included in the bid documents. The generic terms of reference for the

scope of DPRs would be suitably amended in each case in accordance with the

screening and assessment provided in the FR.

4.5 Stakeholder Consultations and Disclosure of ESA

86 Planning and design of all the investments will include adequate consultations with the

project-affected groups and other stakeholders and will specifically focus on the

project's environmental and social impacts. For High impact category investments, the

consultation with these groups shall be carried out at least twice: (a) shortly after

screening and before the terms of reference for the ESA are finalized; and (b) once a

draft ESA report is prepared. In addition, such groups will be consulted throughout

project implementation as necessary to address ESA-related issues that affect them.

This will enable to elicit and address the concerns of the stakeholders and address them

upfront in the project feasibility and design of the project.

87 In order to facilitate meaningful consultations and also effective participation of the

stakeholders in the project, all the project related information will be shared with the

50

likely project-affected groups and local NGOs, in a timely manner prior to consultation

and in a form and language that are understandable and accessible to the groups being

consulted.

88 In case of High impact category investments, a summary of the proposed project's

objectives, description, and potential impacts will be provided for the initial

consultation. For consultation after the draft ESA report is prepared, a summary of the

ESA's conclusions will be provided. In addition, the draft ESA report will be made

available at all relevant public locations, accessible to project-affected groups and the

stakeholders. The ESA report will also be disclosed in website of the SPMGs and

NMCG.

4.6 Environmental Regulatory Compliance

89 In addition to the above, the investments should also comply with all the applicable

environmental regulations and should secure required clearances / authorizations.

Tables Table 4.5and 4.6 provide a summary of such clearances and permissions.

51

TABLE 4.5 ENVIRONMENTAL REGULATORY REQUIREMENTS FOR NAMAMI

GANGE INVESTMENTS

S.

No.

Type of Clearance Applicability Project Stage Responsibility Time

Required

1 Environmental Clearance

from MoEF&CC/SIAA

Applicable for select

investments

Pre-Construction EA Not

Applicable

2 Forest Clearance for land

diversion

For forest land

acquisition

Pre-Construction EA 6-8 Months

3 Tree felling permission For roadside tree

cutting, incase

sewers are to be laid

Pre-construction EA 15 days

4 NOC and consents under

Air, Water &

Environment Act and

noise rules from SPCB

For establishment of

construction camp.

Construction stage

(Prior to initiation

of any work)

Contractor 2-3 Months

5 NOC and consents under

Air, Water &

Environment Act and

noise rules from SPCB

For operating

construction plant,

crusher, batching

plant etc.

Construction stage

(Prior to initiation

of any work

Contractor 1-2 Months

6 Explosive License from

Chief Controller of

Explosives,

For storing fuel oil,

lubricants, diesel etc.

at construction camp

Construction stage

(Prior to initiation

of any work)

Contractor 2-3 Months

7 Permission for storage of

hazardous chemical from

CPCB

Manufacture storage

and Import of

Hazardous Chemical

Construction stage

(Prior to initiation

of any work)

Contractor 2-3 Months

8 Quarry Lease Deed and

Quarry License from

State Department of

Mines and Geology

Quarry operation

(for new quarry)

Construction stage

(Prior to initiation

of any work)

Contractor 2-3 Months

9 Permission for extraction

of ground water for use

in road construction

activities from State

Ground Water board

Extraction of ground

water

Construction stage

(Prior to initiation

of any work)

Contractor 2-3 Months

10 Permission for use of

water for construction

purpose from irrigation

department

Use of surface water

for construction

Construction stage

(Prior to initiation

of any work)

Contractor 2-3 Months

52

S.

No.

Type of Clearance Applicability Project Stage Responsibility Time

Required

11 Labour license from

labour commissioner

office

Engagement of

Labour

Construction stage

(Prior to initiation

of any work)

Contractor 2-3 Months

53

TABLE4.6 ENVIRONMENTAL REGULATORY COMPLIANCE DURING CONSTRUCTION AND OPERATION OF NAMAMI GANGE

INVESTMENTS

S.

No

Project Portfolio Applicable

Legislations

Obligations Responsibility

A Sewerage & Sanitation Investments

1. Laying entirely new sewer Net Work or

extension to existing network including

providing house connections and gravity

based interception and diversion

arrangements to drains carrying sanitary

sullage/dry weather flow

None Ensure Air and Noise Quality is within

stipulated limits of SPCB’s

Ensure minimum hindrance to traffic,

pedestrians and minimum interruption to

services

Contractor during construction and

operating agency during operation

& maintenance

ULB/EA/Contractor

2. Sewerage Network and Pumping

Stations

Air Act, 1981 &

Noise Rules as per

EP Act, 1986

Ensure Air and Noise Quality is within

stipulated limits of SPCB’s

Contractor during construction and

operating agency during operation

& maintenance

ULB/EA/Contractor

3. Sewerage Network, Pumping Station

and Treatment Plant

Water Act, 1974

Hazardous Wastes

(Management and

Handling)

Amendment Rules,

2000

Secure Consent to establish and Operate for

sewage treatment plant from SPCBs and

Ensure Air and Noise quality is within the

stipulated limits of SPCB and CPCB

Contractor during construction and

operating agency during operation

& maintenance

ULB/EA/Contractor

4. Low Cost Sanitation None Ensure Air and Noise Quality is within

stipulated limits of SPCB’s

Ensure minimum hindrance to traffic,

pedestrians and minimum interruption to

services

5. Generators at Sewage Pumping Stations

and Sewage Treatment Plant

Air Act 1981 &

Noise Rules as per

EP Act, 1986

Secure Consent to establish and Consent to

Operate for sewage treatment plant from

SPCBs

ULB/EA/Contractor

54

S.

No

Project Portfolio Applicable

Legislations

Obligations Responsibility

Ensure Air and Noise quality is within the

stipulated limits of SPCB and CPCB

B Industrial Pollution Control Investments

1. Common Effluent Treatment Plants Hazardous Wastes

(Management and

Handling)

Amendment Rules,

2000

Secure the Consent to Establish and

Consent to Operate from SPCBs

Obtain Environmental Clearance from

MOEF&CC

Ensure Air, water(surface and ground) and

Noise Quality is within stipulated limits of

SPCB’s/CPCB

ULB/ EA/ Contractor

2. Hazardous Waste Receiving, Treatment,

Storage and Disposal Facilities

Hazardous Wastes

(Management and

Handling)

Amendment Rules,

2000

Secure the Consent to Establish and

Consent to Operate from SPCBs

Obtain Environmental Clearance from

MOEF&CC

Ensure Air, water(surface and ground) and

Noise Quality is within stipulated limits of

SPCB’s/CPCB

ULB/ EA/ Contractor

CSolid Waste Management Facilities

A. Engineered Landfill Sites MSW Rules, 2000

Air, Act, Water Act

and EPA

Secure the Consent to Establish and

Consent to Operate from SPCBs

Obtain Environmental Clearance from

MOEF&CC

Ensure Air, water(surface and ground) and

Noise Quality is within stipulated limits of

SPCB’s/CPCB

ULB/ EA/ Contractor

B. Composting Facilities MSW Rules, 2000

Air Act Water Act

and EPA

Secure the Consent to Establish and

Consent to Operate from SPCBs

Obtain Environmental Clearance from

MOEF&CC

ULB/ EA/ Contractor

55

S.

No

Project Portfolio Applicable

Legislations

Obligations Responsibility

Ensure Air, water(surface and ground) and

Noise Quality is within stipulated limits of

SPCB’s/CPCB

Ensure no odour and fly nuisance in and

around the waste segregation units within

the compost yard through appropriate

mitigation measures

D River Front Development Schemes

A. River front development and

beautification schemes

None Ensure Air and Noise Quality is within

stipulated limits of SPCB’s

Ensure minimum hindrance to traffic,

pedestrians and minimum interruption to

services

ULB/ EA/ Contractor

B. Construction of Bathing Ghats None Ensure Air and Noise Quality is within

stipulated limits of SPCB’s

Ensure minimum hindrance to traffic,

pedestrians and minimum interruption to

services

ULB/ EA / Contractor

C. Redevelopment of cremation grounds

situated along river banks

None

Ensure Air and Noise Quality is within

stipulated limits of SPCB’s

Ensure minimum hindrance to traffic,

pedestrians and minimum interruption to

services

ULB/ EA/ Contractor

D. Modification of electric /CNG

crematoriums situated along river banks

Air Act, 1981 Secure No Objection Certificate from SPCB

Consent to establish

Consent to Operate

Ensure Water, Air and Noise quality is

within the stipulated limits of SPCB.

ULB/EA/ Contractor

56

Section 5 Implementation, Monitoring and Reporting

Arrangements

5.1 General

90 In order to achieve the objective of ‘Mission Clean Ganga’ by 2020, Namami

Gangeprogram provides financial assistance for implementation of river pollution

abatement/mitigation investments in Ganga main stem states. In addition to complying

with various technical and performance standards, the investments to be supported

under this program shall comply with the Environmental and Social Management

Framework. The implementation, monitoring and reporting arrangements for the ESMF

have been worked out within the overall institutional structure for implementation of

the Namami Gange program, as described in the sections below.

5.2 Namami Gange Institutional Arrangements

91 As nodal Ministry for the Namami Gange program, the MoWR,RD&GR through

NMCG is the primary implementing agency for the project at the national level. The

implementing agencies at the state level are the SPMGs. At the local level, specific

Executing Agencies (EAs) will be selected for implementation of various activities,

including infrastructure investments under the Namami Gange program. EAs may

include para-statal organizations, Special Purpose Vehicles and Joint Ventures

(SPVs/JVs), Urban Local Bodies (ULBs), appropriate state-level departments, NGOs,

or public institutions.

92 The main functions of the various agencies with regard to the Namami Gangeprogram

include the following:

The NMCG will be responsible for overall project planning and management at

the national level; direct implementation of the national level activities;

ensuring satisfactory implementation of the state-level investments and

activities; providing guidance, support and approvals to the SPMGs where

needed; and monitoring implementation performance;

The SPMGs will be responsible for project planning and management at state

level, ensuring satisfactory implementation of the state-level investments and

57

activities; direct implementation of some of the state-level activities; providing

guidance, support and approvals to the state EAs where needed; and monitoring

implementation performance of the EAs;

The EAs will plan and implement the activities/investments and put in place

arrangements for satisfactory and sustainable operation and maintenance of the

assets created. The EAs will be responsible for all contract management,

including preparation of feasibility reports and DPRs, and seeking the necessary

approvals.

5.3 Implementation, Monitoring and Reporting Arrangements for the

ESMF

93 Within the above overall implementation Guideline of the Namami Gange program,

environmental and social due diligence will be carried out by the relevant agencies at

each stage of the project cycle in accordance with the guidance provided in the ESMF.

94 A Social Development Officer and an Environmental Officer will be appointed for

managing social and environmental issues (including safeguards issues) at both central

level as well as in each of the project states. These officers will assist the EAs in

implementation of ESMF provisions.

95 In the EA, an officer each will be designated as social and environment officer who will

be responsible for the implementation of ESMF tasks at the field level with the

assistance and participation of the local self-government. These officers will also have

the responsibility of implementing safeguard activities along with other project

components, and for co-ordination among different agencies, such as the local self-

government, Revenue Department etc. During implementation, meetings will be

organized by the SPMGs inviting all EAs in the state for providing information on the

progress of the project work.

96 An independent Environment and Social/Compliance Monitoring Audit will be

conducted by third party inspection agency for each of the sub projects, Asample terms

of reference for the audit is presented in Annex IV.

58

The project cycle for an investment under the Namami Gange program and the interface

with the ESMF requirements are summarized hereunder.

Project Screening

97 Upon receipt of request for funding, SPMG will assess the eligibility of the sub-project

in line with the agreed framework. The scope of the project would be discussed and the

guidelines for project preparation would be shared. The screening criteria and

categorisation of sub-projects on that basis would also be explained. Once the FR is

approved and the categorisation of the sub-project has been agreed upon, the EA would

be advised on the appropriate DPR preparation toolkit that needs to be followed.

98 The EA will prepare a Detailed Project Report (DPR) including environment and social

management plan (ESMP) tailored to the specific sub-project (for Low impact category

investments). For High impact category investments, the EA will engage external

agencies to undertake preparation of the ESMP (including RAP as relevant) in line with

the requirements of ESMF. While initiating the ESMP (including RAP, as relevant),

the EA/ external agency will be guided by the model Terms of Reference annexed and

shall interact with the Environmental and Social Specialists in the SPMG to seek

guidance in the finalization of scope of work and the development of the plans.

99 On receipt of the ESMP (including RAP, as relevant), specialists will evaluate the

completeness of the documents and their compliance with the ESMF. Further actions,

if any required, will have to be carried out by the EA prior to the appraisal of the project.

Project Appraisal

100 During project Appraisal, the SPMG will appraise the project preparation leading to

the approval of the DPR. The aspects that will be appraised during the project appraisal

will include the following aspects:

Environmental and social suitability of site

Adequacy of the ESMP (including RAP, as relevant) as per the ESMF including

analysis of alternatives, if possible

Compliance with regulatory requirements and clearances

59

Comprehensiveness of the ESMP (including RAP, as relevant) in light of the

project specific environmental and social issues

Integration of environmental and social mitigation measures in to the design,

wherever relevant/required

Arrangements for implementation of ESMP (including RAP, as relevant), including

institutional capacity and contractual provisions

Inclusion of ESMP (including RAP, as relevant)budgets in the project cost and

contract documents

ESMP (including RAP, as relevant)monitoring and reporting arrangements

Need for any legal covenant to address specific environmental risks including

regulatory risks, if any

Risk analysis / allocation

environment and social enhancements (if any / applicable)

101 The Environment and Social Management Plan (ESMP) prepared for the project will

form part of the bidding documents, in addition to the references to various acts relating

to environment and labor, and the implementation of the same will be monitored by

SPMG and NMCG.

Project Approval and Disbursement

102 After requisite approvals and concurrence are obtained, SPMG will discuss

implementation of environmental and social management measures of the project with

the EA to ensure that these are suitably incorporated into the respective legal

/contractual documents, for implementation by the EA.

103 The civil works will be initiated only after the required land has been acquired and

declared free from encroachments and other encumbrances and the EA has the physical

possession of the land. Before the start of civil works the compensation has to be

disbursed to the land owners. During implementation, consultations with the

communities shall be undertaken by the EA / NGOs for providing information on the

progress of the project work. The roles and responsibility of each of the Agency/Official

involved are further detailed in Annex III.

Monitoring and Reporting Arrangements

60

104 The NMCG, through the respective SPMGs will monitor all the approved investments

under the Namami Gangeprogram to ensure conformity to the requirements of the

ESMF. The monitoring will cover all stages of construction, operation and

maintenance. The monitoring will be carried out through the environmental and social

safeguard compliance reports that form a part of Quarterly Progress Reports for all

investments and regular visits by the environmental and social specialists of the

NMCGand SPMGs. In addition to the above, the NMCG will undertake an annual

ESMF audit and will review the status of ESMF compliance, as per the sample terms

of reference provided in Annexure IV.

105 The NMCGwill review these audit reports and identify technical, managerial, policy or

regulatory issues with regards to the compliance of the ESA reports. The identified

technical issues will be duly incorporated in the subsequent investments. Policy and

regulatory issues will be debated internally by the NMCG’s internal review committee

and the need for appropriate interventions will be determined. These interventions

could include appropriate revision of ESMF document or suitable analytical studies to

influence policy or programs of the state, if found necessary / warranted.

106 An external evaluation of the RAP implementation prepared under Namami Gange

programwill also be undertaken twice during the implementation of the project –

midterm and at the end of the implementation. The Table5.1 below details out the

mitigation measures for each impact type, monitoring measures, responsibility and

timeline.

107 Tribal Management Framework (TMF) will be implemented by SPMGs with the help

of EAs. In absence of in-house capacity of EAs, third party may be hired, either an

NGO or a consulting firm.

108 During implementation, meetings will be organized by the SPMGs inviting all EAs in

the state for providing information on the progress of the project work. The project

cycle for an investment under the Namami Gange program and the interface with the

ESMF requirements are summarized Table 5.1.

61

TABLE 5.1 MITIGATION, MONITORING, RESPONSIBILITY AND TIMELINE

S.

No

Impact Monitoring Measures Responsible

Agency

Timeline

1 Land

acquisition

Regular internal monitoring by

the EA and SPMG and

periodic evaluation

EA 12 months from the

start date.

Compensation to be

paid before the start of

civil works.

2 Acquisition of

house/ structure

Regular internal monitoring by

the EA ,SPMG and periodic

evaluation

EA

3 Loss of

livelihood or

source of

livelihood

Regular internal monitoring by

EA; midterm and end term

evaluation

EA 12 months from the

start date of the

activities of the

priority investment.

Assistance to be paid

before the start of civil

works.

4 Loss of access

to private and /

or common

property

Regular internal monitoring by

the EA; ; midterm and end

term evaluation

EA, ESMF

Auditors

12 months from the

start date of the

activities of the

priority investment.

Assistance to be paid

before the start of civil

works.

5 Displacement of

Non

Titleholders

Regular internal monitoring by

the EA; a; midterm and end

term evaluation

EA, ESMF

Auditors

6 Group support

to Tribal

community

Regular internal monitoring by

the social development

professional of EA along with

NGO; midterm and end term

evaluation

EA; District

Administrati

on; ESMF

auditors

12 months from the

start date of the

activities of the

priority investment,

followed by annual

audit

62

7 Gender Action

Plan

Regular internal monitoring by

the social development

professional of EA along with

NGO;midterm and end term

evaluation

EA, ESMF

Auditors

12 months from the

start date of the

activities of the

priority investment,

followed by annual

audit

63

TABLE 5.2 ESMF IMPLEMENTATION AND MONITORING ARRANGEMENTS

Milestones Objectives Process Responsibility Decision/Target/

Deliverable

1. Sub- Project

Screening (at

the FR stage)

To approve

categorisation

of proposed

sub-projects

into high/ low

impact

investments

a. Discussions with EA to

- assess eligibility of project based on Namami

Gange’s priorities in consonance with Mission

Clean Ganga

- identify scope of project report

b. EA to submit FR along with proposed impact

categorisation

c. SPMG may seek expert opinion

NMCG

SPMG

EA

Decision to proceed or not

Identification of impact

category

2. Sub- Project

Appraisal (at the

DPR stage)

To ensure

satisfactory

compliance

with ESMF

Detailed appraisal of the ESMP (including RAP,

where relevant), including site visits/investigations

if necessary assess suitability of site, adequacy of

ESMPs, risk analysis and regulatory clearances

EA to submit ESMP as part of DPR for approval

SPMG

NMCG

Review report and decide

to

- accept

- accept with

modifications

- reject and instruct to

resubmit DPR

3. Approval Approvals from

SPMG/ NMCG/

World bank

a. SPMG to recommend to NMCG

b. NMCG to recommend to Empowered Committee

and World Bank (wherever applicable)

c. Review of Sub Project EAs and ESAMPs by the

World Bank including review and clearance of EA

TORs for High Impact projects by the Bank

SPMG

NMCG

Approval of DPR

64

Milestones Objectives Process Responsibility Decision/Target/

Deliverable

4. ESMP

Implementation

Monitoring and

Review

Ensure

Implementation

of agreed

ESMP

(including

RAP, where

applicable)

a. Prepare quarterly progress reports

b. Schedule field visits as required

c. Third party audit

SPMG, EA, Contractors

Quarterly Progress Report

65

5.4 Social Accountability and Grievance Redressal Mechanism

109 Social Audit, a viable instrument of sustainable program delivery, is in fact People’s

Audit, which provides a succinct view of performance based on society’s perceptions

and analysis at large. Citizen’s Monitoring Committee will perform Social Audit in a

manner prescribed by the Government of India.

110 An integrated system will be established with Grievance Redressal Cells (GRCs), with

necessary officers, officials and systems, at the local EAs, ULBs, SPMGs and the

NMCG levels. Grievances may be submitted through various mediums, including in

person, in written form to a noted address, through a toll free phone line or through

direct calls to concerned officials, and online. All local contact information and options

for complaint submission will be available on site on local information boards.

Moreover, they will be in addition to the PIO officers to be appointed under the RTI

Act. Under GAAP, a half yearly report on Grievance Redressal by the NMCG, SPMG

and EA will be prepared. The project will abide by the RTI Act of 2005 and under

provisions of Section 4 of the Act; it will commit itself for proactive disclosure and

sharing of information with the key stakeholders, including the

communities/beneficiaries. The project will have a communication strategy focusing

on efficient and effective usage of print and electronic media, bill boards, posters, wall

writing, and adoption of any other method suiting local context, logistics, human and

financial resources.

As part of IGRM, a Grievance Redress Cell (GRC) will be set up at the district level

wherever investments have been or will be planned. Since each project town / city will

have Citizen’s Monitoring Committee (CMC), the GRC will be a subcommittee of the

citizen’s monitoring committee. The staffing of GRC will include two representatives

from CMC and the concerned executive engineer of EA. The head of the cell will be a

person of repute but not continuing in the government service. The GRC will have its

own bye laws. The functions of the GRC will include: (i) to redress grievances of

project affected persons (PAPs) in all respects; (ii) rehabilitation and resettlement

assistance and related activities; (iii) GRC will only deal/hear the issues related to R&R

and individual grievances; (iv) GRC will give its decision/verdict within 15 days after

hearing the aggrieved PAPs; (v) final verdict of the GRC will be given by the

66

Chairman/Head of GRC in consultation with other members of the GRC and will be

binding to all other members.

5.5 Training and Capacity Building

111 Being a new entity, the NMCG&SPMGs staff will need additional training in the

management of environmental and social issues of the program. The training program

for various relevant stakeholders will include an orientation program on the ESMF,

Project Management, Engineering and Public Health. Course outline for various

modules, the duration and the participation envisaged has been illustrated in Table 5.3

112 The training program is to be co-ordinated and anchored by NMCG with the support

from agencies / individuals experienced in safeguard aspects of urban infrastructure

investments for developing courses on conducting training programs.

113 The training will focus on the environmental and social issues. The contents will

basically focus on the ESMF, concept, regulatory requirements, Environment and

Social priority issues, project cycle of Namami Gange program investments, outline of

EA / SA and report formats in respect of the Environmental aspects. In respect of social

aspects the course content will focus on the R & R policies and procedures, Land

Acquisition process, identification of PAPs, Social entitlement frameworks, social

assessment, RP techniques, and Risk Assessment and management skills. The generic

training program is elaborated in Table 5.3

114 In addition to the above, Namami Gange program will make a conscious effort to

mainstream the environmental and social issues within the training programs of

NMCG. The program will be structured in such a way that it clearly brings out the

value addition and enhancement benefits of proper management of environmental and

social issues.

115 As part of the capacity building exercise, NMCG also aims at developing decentralized

local capacity on managing environmental and social issues associated with various

investments. In order to achieve the above objective, the specialists will develop a

network of technical man power resources such as staff from universities / research

67

institutions, civil society organisations, etc. These persons will be trained during the

course of Namami Gange program, so that they can provide support to the ULBs in

implementing ESMP (including RAP, as relevant) recommendations and also offer

support on an on-going basis.

68

Table 5.3: Generic Training Programme

Program 1

Orientation Program /

Workshop for Project

Development agency

Module 1 - ESMF

Profile

Namami

GangeConcept

ESMF Concept

Regulatory

Requirements-E&S

Priority Issues

Sub project types of

Namami Gange

program

ESA and SESA

Process Outline

Reports & Formats

Module 2 Environmental

Assessment Process

Environmental Laws &

Regulations

EIA process

Identification of

Environmental Impacts

Impact Identification Methods

Identification Mitigation

Measures

Formulation of Environmental

Management Plan

Implementation and

Monitoring

Institutional Mechanism

Module 3 Social

Assessment Process

Social Assessment

process

Description of

Namami Gange

program R&R,

tribal and gender

frameworks and

procedures and

National

requirements

LA process

Necessity for RAP

and its preparation

process

1½ day

(1st, 3rd and 5th

year of the

project)

Environment and

social staff of

NMCGand SPMG

Heads of Statutory

Boards and other

monitoring agencies

Program - 2

Orientation Program /

Workshop for Project

Implementing agency

Module 1 - ESF Profile

Namami Gange

Concept

ESMF Concept

Regulatory

Requirements-E&S

Priority Issues

Sub project types of

Namami Gange

program

ESA and SESA

Process Outline

Reports & Formats

Module 2 Environmental

Assessment Process

Environmental Laws &

Regulations

EIA process

Identification of

Environmental Impacts

Impact Identification Methods

Identification Mitigation

Measures

Formulation of Environmental

Management Plan

Implementation and

Monitoring

Institutional Mechanism

Module 3 Social

Assessment Process

Social Assessment

process

Description of

Namami Gange’s

R&R, tribal and

gender frameworks

and procedures and

National

requirements

LA process

Necessity for RAP

and its preparation

process

1½ day

(1st, 3rd and 5th

year of the

project)

Municipal

Commissioners of the

ULBs and Heads of

EAs

Engineering/Public

Health personnel from

the ULBs and social

and environment staff

of EAs

Engineering personnel

from Statutory Boards,

and environment and

social staff of potential

private operators /

consultants.

69

Programs Contents Duration /

Schedule

Participants

Program -3

Workshop on Sectoral

Environmental and Social

Assessment

Module 1– Water

supply, sewerage and

sanitation

ESMF Concept

Regulatory

Requirements-E&S

Priority Issues

Outline of ESA

Process

Identification of

Environmental and

Social Impacts

Developing

Mitigation

Measures including

entitlement

frameworks

Formulation of

Environmental and

Social

Management Plan

including

preparation of

Resettlement

Action Plan

Implementation

and Monitoring

arrangements

Budget preparation

for implementation

of ESMP

Case Studies

Module 2– Solid

waste management

ESMF Concept

Regulatory

Requirements-

E&S Priority

Issues

Outline of ESA

Process

Identification of

Environmental

and Social

Impacts

Developing

Mitigation

Measures

including

entitlement

frameworks

Formulation of

Environmental

and Social

Management

Plan including

preparation of

Resettlement

Action Plan

Implementation

and Monitoring

arrangements

Budget

preparation for

implementation

of ESMP

Case Studies

Module 3– River Front

Development

ESMF Concept

Regulatory

Requirements-E&S

Priority Issues

Outline of ESA

Process

Identification of

Environmental and

Social Impacts

Developing

Mitigation Measures

including

entitlement

frameworks

Formulation of

Environmental and

Social Management

Plan including

preparation of

Resettlement Action

Plan

Implementation and

Monitoring

arrangements

Budget preparation

for implementation

of ESMP

Case Studies

Module 4

– Open

Forum

Feedback

and

comments

from the

Participan

ts.

1½ days

(every alternate

years)

(Introduction will

be common to all

and participants will

be split according to

their respective

sectors)

Municipal

Commissioners of

the ULBs and heads

of other EAs.

Engineering/ Public

Health personnel

from the ULBs and

other EAs.

Engineering

personnel from

Statutory Boards,

and potential private

operators /

consultants.

Environment and

social staff of

NMCG; SPMGs;

and EAs

70

Section 6Public Consultations and Disclosure

6.1 General

115 The development of the ESMF is based on a consultative process that engaged key

stakeholders at the national, state, and local levels and sought their feedback. Key

government agencies have been consulted at the various levels to obtain their consent

on the ESMF in general and specially on the land acquisition process and resettlement

framework.

116 National level consultations on ESMF were held as follows:

(i) April 17, 2010: A meeting on the international River clean-up experiences was

held at Scope Complex, Lodi Road, New Delhi where MoEF&CC, World Bank,

States, ULBs, NGRBA expert members, and some NGOs participated.

Consultations on broad outline of ESMF were conducted.

(ii) Sept.1, 2010: A meeting was organized in MoEF&CC with States and PIAs – It

was first consultant meeting on ESMF where MoEF&CC made a presentation

and draft of ESMF was shared with the States.

(iii) Oct. 25-26, 2010: A workshop for consultation on Investment frameworks and

ESMF was organized in the World Bank where States, PIAs, NMCG and World

Bank participated and agreed on the broad contours of the ESMF. It was agreed

that States would conduct the public consultations at important towns where

projects are likely to be implemented under the program.

117 Following the national level consultations, public consultations have been carried out

in sample sub project areas in each of the five participating states to get feedback and

suggestions from the affected community on the ESMF. The dates of these consultation

meetings were announced in the local newspapers in advance so that all interested

parties could participate and provide suggestions. The ESMF was translated into local

language and disclosed on the websites and placed with the offices of the nodal agencies

prior to the consultation meetings. Representatives of the State Nodal Agencies

facilitated the public consultation meetings. The consultants preparing the ESMF

attended the public consultation meetings in all the states to note the stakeholder

71

suggestions and feedback. The minutes of the meeting was prepared highlighting the

key discussions and issues raised by the stakeholders.

118 The schedule of the public consultations at the state level is provided in Table 6.1. The

minutes of the meetings are given in the sections that follow.

TABLE 6.1 DETAILS OF THE PUBLIC CONSULTATIONS HELD AT THE FIVE SELECTED

STATES

S.No State State Nodal

Agency

Venue Date Time

1 Uttarakhand Uttarakhand Peyjal

Nigam

Nagar Pallika

Bhawan,

Haridwar,

Uttarakhand

10th

December

2010.

2:30 pm to

5:00 pm

2 West Bengal Urban Development

Department

Kolkata, West

Bengal

21st

December

2010

2:00 pm to

4:00 pm

3 Jharkhand Urban Development

Department,

Jharkhand)

Vikash Bhawan

D.C. Office,

Sahibganj,

Jharkhand

23rd

December

2010

11:00 am

to 2:00 pm

4 Uttar Pradesh Ganga Pollution

Control Unit, U.P

JalNigam

Nagar Nigam,

Guest House,

Kanpur, Uttar

Pradesh

28th

December,

2010

3:00 pm to

5:30 pm

5 Uttar Pradesh Ganga Pollution

Control Unit, U.P

JalNigam

Sadan Hall,

Nagar Nigam,

Allahabad, Uttar

Pradesh

29th

December

2010

3:00 pm to

5:00 pm

6 Bihar Department of

Urban Development

Patna, Bihar 4th

January

2011

3:00 pm to

5:00 pm

72

6.2 Minutes of Public Consultation Meetings

119 Public Consultation on Environment and Social Management Framework

(NGRBA Program), held at Haridwar, Uttarakhand

Minutes

Date: 10th December 2010. Time: 2:30 PM to 5:00 PM

Venue: Nagar Pallika Bhawan, Haridwar, Uttarakhand

Attended by:

State Nodal agency (UttarakhandPeyjal Nigam): Mr. Prabhat Raj (Executive

Engineer), Mr. S. C Gupta (General Manager), Mr. Y. K Mishra (Project

Manager),

Consultancy team from TERI: Mr. Sakaram Somayaji, Mr. C. G Hiremath, Ms.

C. Sita Lakshmi

Number of participants: 22 (representatives from NGOs, elected members of

Nagar PallikaHaridwar and concerned individuals from Uttarkashi, Gangotri,

Dehradun and Haridwar, list attached)

The public consultation meeting was flagged-off by Mr. Y. K Mishra who welcomed

the participants and briefed them about the agenda of the meeting. Further the meeting

was carried forward by Mr. Prabhat Raj, who presented the details about the

Environment and Social Management Framework, starting from the current status of

river Ganga, future government plans, possible assistance by World Bank, overall

significance of ESMF, stake-holder participation during the project, etc. A brief

summary of all the important points discussed during the meeting are mentioned in the

following points:

A target-oriented, continuous and regular mechanism to create education and

awareness among the people, particularly the younger generation about the

importance of keeping river Ganga clean.

Provide proper sanitation facilities, along with efficient operation and

maintenance systems, to the tourists and pilgrims (like the Kaavadis) who visit

the state during religious occasions and other festivals.

Active participation from the NGOs, the local communities and the panchayats

needs to be ensured in the process of planning, implementation and monitoring

of the project.

73

All efforts should be made to safeguard and minimize any possible negative

impact on the socio-cultural beliefs and traditions of the local communities

regarding river Ganga, while implementing the sub-projects.

Regular operation and maintenance mechanism for sustainable management of

the facilities created during the sub-projects, along with sufficient budgetary

provisions.

In order to ensure proper cleaning of Ganga, all the tributaries in the state also

needs to be covered under the project.

A common concern among the stakeholders was the lack of any solid waste

management plan, as of today, in the district. This project should incorporate

suitable mechanisms for proper solid waste management in the river basin.

To avoid time and cost run-over, the time gap between planning and

implementation of the project needs to be minimised. This will also prevent the

project to suffer due to price-escalations and consequent budget insufficiency.

All safety and precautionary measures must be taken to avoid any accidents

during the construction phase of the projects. Although the notice of the project

along with other details and the specific agenda of the meeting was made

available on the website of Peyjal Nigam, the ward members of Nagar Pallika,

Haridwar suggested that hard copies of these details be provided to them

individually, as internet is not easily accessible by everyone, so as to make their

participation more effective.

Ensure proper coordination between different government agencies/

departments with clear allotment of responsibilities and provide sufficient

accountability at each level.

The meeting was concluded by Mr. Y. K. Mishra followed by vote of thanks given by

Mr. S.C Gupta.

120 Public Consultation Meeting on Environment and Social Management

Framework (NGRBA Program) held at Kolkata

Minutes

Date: Tuesday, 21 December 2010 Time: 2 p.m.

Venue: Unnayan Bhawan, Salt Lake, Kolkata

Attended by:

Mr. N Dey, Special Secretary, Urban Development Department, Government

of West Bengal, MrChunarDey, DGO, GAP

Consultancy team from TERI: DrSujanaDhar, Ms Avanti Roy Basu

74

No. of participants: 43 (including representatives from Barrackpore, Khardah,

Panihati, Kamarhati, Gaeshpur, Konnagar, Serampore, Naihati, Halisahar,

Mahestala, Behrampore, Jangipur, Nabadwip, Bhatpara municipalities, Kolkata

Metropolitan Development Authority, Howrah Municipal Corporation,

Chandannagar Municipal Corporation, West Bengal Pollution Control Board,

Jadavpur University, ME Directorate and KMW&SA). Signed list of

participants attached as Annexure IV.

The public consultation meeting was initiated by Mr N Dey who welcomed the

participants and briefed them about the agenda of the meeting. The details of the

Environment and Social Management Framework (ESMF), including the future

activities planned by the government, possible assistance by World Bank, overall

significance of the ESMF, stakeholder participation during the project, etc. were

discussed. He also discussed the objectives of setting up the National Ganga River

Basin Authority (NGRBA).

A brief summary of the important points discussed during the meeting are mentioned

below.

The various river pollution mitigation projects to be implemented under

NGRBP, namely sewerage and sanitation schemes, sewage treatment plants

(new/ up gradation), solid waste management, industrial pollution control

initiatives and river front development schemes were highlighted. He stressed

on the importance of the treated sewage water to only flow into the river.

Mr. Dey presented the genesis of the NGRBP and informed the participants that

the mission is to clean River Ganga by 2020 and to bring the water quality to

acceptable limits, which primarily flows through 5 states, namely, Uttar

Pradesh, Uttarakhand, Bihar, Jharkhand and West Bengal.

He described the structure of the NGRBA, chaired by the Hon’ble Prime

Minister of India. The organizational structure of the NGRBP is as follows: At

the national level, NGRBA is chaired by the Hon’ble Prime Minister of India,

and the Empowering Steering Committee (ESC) has been formed. At the state

level, SGRBA (State Ganga River Basin Authority) is chaired by the Hon’ble

Chief Minister of the respective states. Also, State Project Planning and

Monitoring Unit (SNMCG) will be the state nodal agency and will be formed

75

in West Bengal shortly. The SNMCG will be a registered body and will be

headed by the Principal Secretary of the State Urban Development Department.

The State Executing Agency (SEA) will be formed at the state level. For

execution of the project, EA (Executing Agency) – NGO or any state agency.

City level monitoring agencies at the district level will also be formed.

He discussed in length about the purpose of the ESMF (Environment and Social

Management Framework) including matters related to land acquisition,

entitlement issues, resettlement and rehabilitation of the Project Affected

Persons (PAPs).

The laws and regulations as well as World Bank Safeguard policies applicable

to the project were discussed.

The environmental categorization of the various sub-projects envisaged under

the NGRBP was discussed.

He mentioned that based on proper guidelines, feasibility reports (FR) will be

prepared, and after obtaining necessary approvals from the state government

and GoI, the DPR will be documented. The modifications will be made at the

FR stage, and not at the DPR stage.

Many activities related to RFD have already been implemented in many parts

of the state. He stressed on the need of ladies’ changing room (as part of the

RFD sub-project) and the need of low-income scheme (as part of the sewerage

and sanitation sub project).

The O&M cost for the first five years will be included within the project cost,

and will follow the 70:30 pattern (70% by GoI and 30% by state government).

The funds will flow from GoI to SPMG to EA.

The representatives of Panihati, Mahestala, Bhatpara, Gayeshpur and Chandan

Nagar municipalities raised their queries, which were successfully handled by

MrChunarDey (GAP), Prof. A Majumdar (Jadavpur University) and Dr T K

Gupta (WBPCB).

Observations that the different agencies mostly failed to operate and maintain

properly the sewage treatment plants e.g. Activated Sludge Process, Trickling

Filters etc. constructed under GAP-Phase I and Phase- II were heard. The STPs

like Waste Stabilization Ponds (WSP), however installed under GAP Phase I

and Phase II operated and maintained satisfactorily. So, efforts must be exerted

76

for installation of WSP for treatment of city sewage. Accordingly land selection

(in rural areas) and acquisition should receive priority for interest of the work.

Prof Mazumder stated that the current phase of GAP envisages installation of

sewerage system in the town. The storm water during rain will flow along

surface drains leading to Ganga. Thus house connections in the sewerage system

need guarantee from the municipal authorities. If house connections are not

done then sullage will continue to get discharged in the river. Thus house

connection is a challenge for the future action plan.

He also mentioned that recycling and reuse of treated waste water must receive

serious attention in the projects. This will ensure use of treated wastewater in

agriculture, pisciculture, ground water recharging etc. One has to conceive

ecologically balanced wastewater treatment system for abatement of river

pollution

One of the objectives of GAP must be the positive impact on public health, Non-

point pollution needs also to be addressed, and more thrust is needed to ensure

peoples' participation in the programme.

Representatives of certain municipalities expressed their opinions and suggestions

during the participatory discussion, and a few experts present in the meeting presented

their views accordingly. A brief summary of the interactive session is given below:

Panihati Municipality – Under the Ganga Action Plan, 13 nos of towns were

covered in the 1st phase within KMA including Panihati. However, the

representative of Panihati Municipality complained that the sewage treatment

plant (STP) constructed under GAP I is currently non-functional.

Mahestala Municipality – There are several small-scale industrial units in

Mahestala, which discharge untreated/partially treated wastewater directly into

the river and pollute it. The representative of Maheshtala Municipality opined

that due to financial reasons, it is not possible for these small units to set up

wastewater treatment facilities at an individual level. Also, there is no sewerage

network in Maheshtala. As a response to this, Dr T K Gupta, Chief Engineer,

West Bengal Pollution Control Board (WBPCB) suggested that Common

Effluent Treatment Plant (CETP) will be constructed for which land has to be

identified. The formalities of land possession (for the CETP) may be discussed

in the Committee meeting at a later stage during the project. The smaller

77

industries need to be shifted to the common location so that their wastewater is

managed in an efficient manner (through the CETP).

Bhatpara Municipality – There are 18-19 large-scale industries in Bhatpara.

The sewerage system in Bhatpara is decades old, with problems like sewerage

congestion due to weak O&M practices. Even after making repeated requests to

the WBPCB, no actions were taken from their end. Therefore, the problems

related to management of industrial wastewater as well as sewage do exist in a

big way. Dr T K Gupta assured that he will take necessary actions to address

their grievances.

Gayeshpur Municipality – The problems discussed by the representative of

Gayeshpur municipality are similar to that of Bhatpara. He added that there is

land available in Gayeshpur for any construction that might be required.

Chandan Nagar Municipality – Untreated sewage from various point and non-

point sources fall into the river. The representative from Chandan Nagar

Municipality was of the opinion that municipal engineers should be involved in

the decision making process

The meeting ended with the vote of thanks given by MrDey. He was grateful for the

overwhelming response of the participants for the meeting, and requested their whole-

hearted participation throughout the project.

121 Public Consultation on Environment and social management Framework

(NGRBA Program), held at Sahibganj, Jharkhand

Minutes

Date: 23/12/2010 Time: 11:00 am to 2:00 pm

Venue:Vikash Bhawan, D.C. Office, Sahibganj, Jharkhand

Attended by:

State nodal agency:

- Mr. K. Ravi Kumar (District commissioner, Sahibganj)

- Mr. Sangram Besra (Deputy Secretary, Urban Development

Department)

- Mr. Gajanand Ram (Associate town planner, Urban Development

Department, Jharkhand)

- Mr. Sisir Kumar Soren (Executive officer, Sahibganj)

78

- Mr. Suresh Kumar (Executive officer, panchyat, Rajmahal)

Consultancy team from TERI: Mr. Sunil Kumar, Ms. G.Mini

Number of Participants: 75 Representatives from NGOs, elected members of

Nagar palikaSahibganj and concerned individuals from Sahibganj and

Rajmahal. Signed list of participants attached as Annexure IV.

The public consultation meeting was flagged-off by Mr. K. Ravi Kumar (District

Commissioner, Sahibganj) and Mr. Gajanand Ram (Associate town planner, Urban

Development Department, Jharkhand) who welcomed the participants and briefed

them about the agenda of the meeting.

Further the meeting was carried forward by Mr. Gajanand Ram, who presented the

details about the Environment and Social Management Framework (ESMF), starting

from the current status of river Ganga, future government plans, possible assistance by

World Bank, stakeholder participation during the project and the overall significance

of ESMF. Various agencies involved in implementing the current programme were also

explained in detail to the gathering. The guidelines were translated to vernacular and

made available to public and also all the documents related to NGRBA program has

been uploaded in the MoEF&CC/NMCGwebsite.

Mr. K Ravi Kumar and Mr. Gajanand Ram also briefed the gathering about the earlier

efforts (GAP I and GAP II) to clean Ganga. The main reasons for the programme to be

not so successful were cited as lack of proper operation and maintenance of assets

created and comprehensive planning.

The Projects Planned under NGRBA program in Sahibganj and Rajmahal are:

Sewage treatment system

Solid waste management

Improved crematorium

River front beautification

A no. of sub-Projects would be considered under the above mentioned categories.

Another important component considered under NGRBA program would be to create

public awareness to check activities, which contribute to pollution in the river.

79

A brief summary of all the important points discussed during the meeting are

mentioned below:

It was informed that in Rajmahal & Sahibganj majority of the population lived

in slum areas and they also need to be considered and sensitized while planning

any projects/schemes. At the moment the fringe population are availing all the

infrastructural benefits without being accountable to any kind of maintenance.

Earlier there were only 18 wards in 2001 census and currently there are around

28 wards.

It was emphasized that the projects have to be location specific and the paying

capacity of the community has to be considered while planning the projects.

Small industrialists were conspicuous by their absence in public consultation

meeting, hence it was opined that they should also be included in any further

meetings especially the brick manufacturing industries which are normally

situated at the bank of the rivers.

The public wanted to know whether the levy of public contribution/tax for

operation and management of the existing projects and upcoming projects under

the scheme would be same for the local public and the industrialist. It was

clarified that reference of taxation system would be as per State Govt. decision.

It was expressed that in the upcoming sewerage project there should not be any

mixing of drinking water pipelines with sewerage pipelines. Also solid waste

should not be diverted towards sewer drainage. In response to the questions

raised, the DC clarified the technical details of the drainage system and assured

that mixing of drainage and drinking water cannot happen.

A common concern among stakeholders was the indifference towards the rules

and regulations when it comes to usage and maintenance of the infrastructure

facilities provided. For instance, in spite of some existing drainage network

people still continue to dispose their waste into the river, open defecation is

common, littering of riverbanks is widespread. So how will the agency ensure

discipline when the new projects come up? in response to the questions and

concerns raised the D.C. conveyed that part of the problem is due to lack of

manpower in Urban Local Bodies. New recruitments will take place and

effective measures will be put in place to abide by the rules and regulations.

It was suggested that projects should not be like a showcase it should be fruitful

to the entire beneficiary.

80

It was suggested that anti erosion projects/ works, which is currently under

CWC, should be included in the Ganga main stem project.

Since Sahibganj is a underdeveloped district levy of tax should be lesser as

compared to other major towns and cities. Another justification given for less

levy of tax is that Sahibganj being a non-industrial area/zone becomes the least

polluter of the river. Hence, “polluter pay “concept has to be considered and

higher taxes have to be levied from high polluting towns and cities.

Currently dead animals are disposed in river Ganga as there are no burial places

for animals. Nagar Palika also does not have any disposal place for dead

animals.

Another suggestion was to ensure proper coordination between different

government agencies/ departments especially the Drinking Water and

Sanitation Department and the urban body while implementing the project.

The community was keen to know both tangible and in tangible benefits of the

project, which was explained to them in detail by the District collector and the

Associate town planner.

People did not voice any concern regarding R&R issue. They mentioned that

they are largely satisfied by the existing compensation scheme.

A common concern voiced by the stakeholders was regarding the difficulty of

land acquisition in khashmahal estate of government. Nearly 1000 acres of land

in Sahibganj comes under khashmahal estate. There is a high possibility that

certain portion of the khashmahal land would come under project (mainly for

– laying pipelines, sewerage junctions, pump house, sewage treatment plant

etc.) and giving compensation for such land will create problems as these lands

are claimed both by the government and the community.

Peoples were also largely concerned about the decreased river flow of Ganga,

and expressed their doubts about the existence of the river in another 10 to 12

years. Most of the queries related to planning and implementation of the project

raised were satisfactorily answered by the D.C. and Associate Town planner.

The meeting was concluded by Mr. Gajanand Ram followed by vote of thanks,

especially to Mr. K.Ravi Kumar (District commissioner) for their presence and

valuable suggestions.

122 Public Consultation on Environment and Social Management Framework

(NGRBA Program), held at Kanpur, Uttar Pradesh

81

Minutes

Date: 28th December 2010. Time: 3:00 PM to 5:30 PM

Venue: Nagar Nigam, Guest House, Kanpur, Uttar Pradesh

Attended by:

State Nodal agency (Ganga Pollution Control Unit, U.P Jal Nigam): Mr. C M.

Chaudhary (General Manager), Mr. Mukesh Kumar (Project Manager)

Consultancy team from TERI: Ms. Sonia Grover, Ms. Swati Dabral, Mr. C. G

Hiremath

Number of participants: 38 (Mayor, Commissioner, Additional Municipal

Commissioner, elected members of Kanpur Municipal Corporation,

representatives from NGOs and Schools, concerned government officials, list

attached as Annexure IV).

The public consultation meeting was initiated by Mr. C M. Chaudhary who welcomed

the participants and briefed them about the agenda of the meeting. Further Mr. Mukesh

Kumar presented the scope and objectives of the Environment and Social Management

Framework (ESMF). Details about the ongoing and proposed projects under NGRBA

program for Kanpur city was also presented during the meeting. A summary of the

important points discussed during the meeting are mentioned below:

Disposal of unburnt or half burnt dead bodies into the river Ganga should be

prohibited and promotion of social institutions to perform last religious rites of

unidentified and unclaimed dead bodies.

More crematoriums should be built and existing ones should be renovated to

cater to the need of growing population.

Stakeholders’ involvement at both project planning and implementation phase

of the projects.

Provision of proper sanitation facilities during religious occasions and other

festivals.

Inclusion of social development projects in the projects portfolio proposed by

NGRBA program.

Promotion of awareness generation at community and school levels especially

in the fields of better solid waste disposal (idols, calendar, flowers, polythenes),

promote usage of crematoriums, etc.

82

Involvement of local communities (Pandits) for maintaining the river ghats to

curb pollution. Initiative to start same rituals with the bodies specified for

burning in electric crematorium as is done with normal bodies to enhance

acceptance of e-crematoria.

Administrative and financial support for regular operation and maintenance of

the projects.

Establishment of institutional facilities for monitoring and maintaining the

minimum flow (at least 50% of the volume generated) in the river, which is

currently being interrupted by infrastructural activities (dams, barrages,

diversions) on the upstream side of river Ganga.

Facilitate reuse of treated wastewater for agricultural practices, parks, fire

fighting, etc.

Provision of segregated wastewater treatment from industry and domestic

sectors.

Provision of buffer zones (no-man zone)/integrated river front development for

protection of river ghat against pollution (solid and liquid waste disposal,

infrastructural development). Facilitate usage of this buffer zone for

afforestation or flower plantation)

Creation of Ganga Heritage Zone to focus development and protection against

pollution.

Adopt bioremediation techniques for treating wastewater until the new STPs

become functional.

Facilitate proper solid waste management along with the provision of utilisation

of compost in agricultural/gardening activities.

Prohibition of reverse boring of wastewater by the industries which are likely

to pollute groundwater.

Proper coordination between different government agencies during appraisal of

the proposals and environmental impact assessment of the projects which may

cause time delay for execution.

The meeting was concluded followed by vote of thanks given by Mr. C M. Chaudhary.

123 Public Consultation on Environment and Social Management Framework

(NGRBA Program), held at Allahabad, Uttar Pradesh

83

Minutes

Date: 29th December 2010. Time: 3:00 PM to 5:00 PM

Venue: Sadan Hall, Nagar Nigam, Allahabad, Uttar Pradesh

Attended by:

State Nodal agency (Ganga Pollution Control Unit, U.P Jal Nigam): Mr. A K

Mittal (General Manager)

Consultancy team from TERI: Ms. Sonia Grover, Ms. Swati Dabral, Mr. C. G

Hiremath

Number of participants: 22 (Mayor, elected members of Nagar Palika

Allahabad, representatives from press and concerned government officials,

Signed list of participants attached as Annexure IV.

The public consultation meeting was flagged-off by Mr. A K Mittal who welcomed the

participants and briefed them about the agenda of the meeting along with details of

upcoming and proposed projects under NGRBA program. Further the meeting was

carried forward by TERI’s representatives, who presented the scope and objectives of

the Environment and Social Management Framework and requested participants to

share their concerns/suggestions with respect to the framework. A brief summary of the

important points discussed during the meeting are mentioned below:

A continuous and regular mechanism of creating awareness among community

and school children’s through street plays, public and religious gatherings

(Mela), displaying banners, etc.

Provision of proper sanitation facilities along with efficient operation and

maintenance systems during religious occasions and other festivals.

Community involvement needs to be ensured during the project initiation and

implementation stage of the project.

The implementation activities of the projects must be completed in time to avoid

the problems of traffic diversions, public congestions, and commercial

displacement especially during Maha Kumbh Mela.

Promote reuse of treated wastewater for irrigation and gardening purposes.

Mechanism for proper solid waste management along the banks of both river

Ganga and Yamuna.

84

Provision of wastewater treatment facility at Dhobi Ghat for caustic soda based

effluents.

Imposing strict regulation on upcoming new colonies to establish their own

STPs.

Ensure proper site selection for pumping stations along with efficient operation

and maintenance of pumping stations in order to avoid back flow or clogging of

sewers.

Request to start sewer and drainage projects simultaneously and completed in

time to avoid mixing of wastewater with drainage water.

Ensure technically feasible solutions while designing the alignment of sewer

lines and dimensions of the sewer to cater the needs of growing population.

Request to maintain minimum size of the sewer more than 150mm to avoid

clogging of sewers.

Ensure sufficient distance/depth while aligning the sewer lines adjacent to the

water supply lines to avoid contamination of drinking water.

The meeting was concluded followed by vote of thanks by Mr. A K Mittal

124 Public Consultation on the Environmental and Social Management Framework

(ESMF) for the National Ganga River Basin Authority (NGRBA Program) held

at Patna, Bihar

Minutes

Date: 04/01/2011 Time: 03:00 pm to 5:00 pm

Venue: Conference hall, urban development office, VikasBhawan, Patna, Bihar.

Attended by:

State nodal agency:

- Dr. D.K. Shukla (Special Secretary, Urban Development and Housing

Department, Government of Bihar)

- Mr. A.K. Sharma (CGM, Bihar Urban Infrastructure Development

Corporation Ltd. Bihar)

- Mr. P.U. Asnani (Team leader, UTAST-SPUR, Bihar)

- Mr. Satish Chand Agrawal (Senior Environment and Public Health

Engineer, SPUR-UTAST, Bihar)

85

- Mr. Sanjay Shakya (Infrastructure and Procurement specialist, SPUR-

UTAST, Bihar)

- Mr. Chand Rehmani (BUDA, Urban Development and Housing Deptt.)

Consultancy team from TERI: Mr. Sunil Kumar, Mr. AvneeshNayal

Number of Participants: 26 Representatives from NGOs, elected members of

Nagar Palika and concerned individuals from Patna and other districts of Bihar.

Signed list of participants attached as Annexure IV.

The public consultation meeting was flagged-off by Mr. Satish Chand Agrawal (Senior

Environment and public health engineer, SPUR-UTAST, Bihar), and Mr. P.U. Asnani

(Team leader, UTAST-SPUR, Bihar) who welcomed the participants and briefed them

about the agenda of the meeting.

Further, the meeting was carried forward by Mr. P.U. Asnani, who presented the details

about the Environmental and Social Management Framework (ESMF), starting from the

current status of river Ganga, future government plans, possible assistance by the World

Bank, stakeholder participation during the project and the overall significance of the

ESMF. Various agencies involved in implementing the current programme were also

explained in detail to the gathering.

The guidelines were translated to vernacular and made available to public and also all

the documents related to NGRBA program have been uploaded onto the

MoEF&CC/NMCG, department website.

Mr. P.U. Asnani and Mr. Satish Chand Agrawal also briefed the gathering about the

upcoming projects and list of towns selected under the NGRBA program. Total 21 towns

have been selected from 9 districts of the Bihar state.

The upcoming Projects Planned under NGRBA program in Bihar are:

Sewage treatment plants including Dhobi Ghat and Community toilet

Integrated Solid waste management

Improvement of crematorium

River front development

86

A number of sub-projects would be considered under the above-mentioned categories.

Another important component considered under NGRBA program would be to create

public awareness to check river-polluting activities

A brief summary of all the important points discussed during the meeting are mentioned

below:

Social and Organizational concerns/suggestions:

Awareness about the program projects and sub-projects must be generated to a

large extent in order to ensure implementation and effectiveness.

For all projects, elected representatives of the state must lead the way and

communicate efficiently with the public.

Documents and messages delivered to the public must be made in simple

language and easily comprehendible. This will ensure that they are made aware,

will respond positively to their duties and will contribute to the implementation

of projects.

It is absolutely essential for good communication and transparency between the

elected representatives (ward councillors, mayor) and government officials to

ensure efficient execution of the projects.

A higher level of cooperation and contribution from the State Pollution Control

Board will be required.

‘Livelihood links’ that exist with the Ganga River and the related projects should

be highlighted. For this, a task force or Ganga Panchayat should be constituted.

These task force units would partake in Capacity Building of locals and training

of Urban Local Bodies.

Before implementation of projects, the location of projects must be consulted

with the local people of the project-affected area.

Local Institutional support could be taken for project planning and development.

Encroachment of lands and construction of residential complex should not take

place in the River Catchment areas.

Environmental and Technical concerns/suggestions:

Solid Waste Management related projects must implement a door–to–door

collection system in order to reduce the number of waste collection points. All

efforts to be made to make the town a bin free city.

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Effluent discharge limits for slaughterhouses along the riverbanks should also

be established. In addition, these slaughterhouses must be made modern and

more environment-friendly. The State Pollution Control Board should strictly

implement the Environment Protection Act particularly for slaughter houses

discharging their waste in to river Ganga without treatment.

Various check dams could be built on the tributaries of the river Ganga in order

to achieve better flood and disaster management. In this way, formation of

islands in the course of Ganga can also be stopped. In addition, small

hydropower plants could also be setup.

There are various ‘Arsenic-zones’ adjacent to the riverbanks that must be

addressed.

A master plan is to be developed for the entire Ganga River Basin using Remote

Sensing and GIS under the NGRBA program.

Integrated River Basin projects should also be developed under NGRBA

program.

The demarcation of ‘Heritage Zones’ must be done about 1-2 km adjacent to the

riverbank area. These zones will be protected and could serve as recreational and

scenic areas.

Technical trainings should be provided to concerned officials and elected

members for better implementation of the projects.

The SPUR-UTAST on behalf of Urban Development Department has submitted

comments on ESMF (copy attached).

Finally the meeting was concluded by Mr. P.U. Asnani followed by vote of thanks.

125 Consultation with the SPMGs and EAs on the revised ESMF for Namami Gange

Programme held at New Delhi on 04.08.2017.

Minutes

Date: 04/08/2017 Time: 10:30 am to 1:30 pm

Venue: Conference Room, National Mission for Clean Ganga, New Delhi

Attended by:

- Dr. Nikhil Ranjan, Monitoring and Evaluation Officer, SPMG, Bihar

- Shri R.B.Singh, Senior Procurement Specialist, SPMG, UP

- Shri Biplab Debnath, EE/KMDA, Govt of West Bengal

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- Shri Kinkar Sarkar, EE/KMDA, Govt of West Bengal

- Shri Faizuallah Khan, Enforcement Coordinator, NMCG

- Shri K.K. Sapra, Under Secretary, NMCG,MoWR,Rd&GR

- Shri Vijay Yadav, Asst. Civil Engineer, NMCG

- Dr. Pravin Mutiyar, Director (T-III), NMCG

- Shri Mohd. Najeeb Ahsan, Sr. Social Management Specialist, NMCG

- Shri Saumyasib Mukhopadhyay, Sr. Environmental Specialist, NMCG

A brief presentation of the revision of ESMF was given by the NMCG’s Environmental

and Social Experts. The provisions of revised land acquisition and R&R acts were

discussed in length and new entitlement matrix was also explained. Further the

provisions made in the revised ESMF for implementation of (i) Retro-financing of

projects and (ii) Hybrid Annuity based PPP projects were discussed in length.

For the Hybrid Annuity Based projects, it was agreed that at the DPR stage only

Environment and Social Due Diligence Report (ESDDR) along with

Environment and Social Management Action Plan (ESMAP) will be prepared.

The ESDDR will cover the basis nature of the projects, a very brief description

of the environment and present status along with screening checklist and an

analysis of environmental and social issues associated with the project.

The ESMAP to describe the future action plan to be taken during the detailed

design stage by the Hybrid annuity operator like:

o Various regulatory clearances (e.g. environmental clearance, forest

clearance, NOC etc. as applicable)

o Preparation of Environmental and Social Assessment (ESA)/EIA

o Resettlement Action Plan (RAP), as applicable

o other actions, and management measures to be implemented by the SPV

/ PPP Concessionaire / operator

125 (A) The public consultation and disclosure process will continue during project implementation.

The draft EIA/EMP/RAP etc. for the specific sub-projects will be discussed with the

affected communities and the final documents will be placed on the websites of the

NMCG and the SPMGs. The copies of the EMP and RAP will also be placed at the

offices of the executing agencies, district magistrate and contractor’s office. The

89

executive summary of the EIA and RAP will also be translated into local language and

placed in the office of the Gram Panchayat of the affected villages.

90

End Notes

91

Definitions

The following definitions are used in the documents:

Cut-off date: In the cases of land acquisition affecting legal titleholders, the cut-off

date would be the date of issuing the preliminary notice u/s 11(1) of the RFCTLARR

Act, 2013. In cases where people lack title, the cut-off-date shall be the date of start of

the Census survey undertaken by the project authority.

Project Affected Person:

Affected persons are those who stand to lose all or part of their physical and non-

physical assets including homes, productive land, community resources, commercial

properties; livelihood; and socio-cultural network.

Project Displaced person: A displaced person is a person who is compelled to change

his/her place of residence and/or work place or place of business, due to the project.

Affected family means:

(i) A family whose land or other immovable property has been acquired;

(ii) a family which does not own any land but a member or members ofsuchfamily

may be agricultural labourers, tenants including any form oftenancyor holding

ofusufruct right, share-croppers or artisans or who may be workingin the affected area

for three years prior to the acquisition of the land, whoseprimary source oflivelihood

stand affected by the acquisition of land;

(iii) the Scheduled Tribes and other traditional forest dweller who havelost any

oftheir forest rights recognised under the Scheduled Tribes and OtherTraditional Forest

Dwellers (Recognition of Forest Right) Act, 2006 due toacquisition of land

(iv) family whose primary source oflivelihood for three years prior to the acquisition

of the land is dependent on forests or water bodies and includesgatherers offorest

produce, hunters, fisher folk and boat-rnen and such livelihood is affected due to

acquisition ofland;

(v) a member of the family who has been assigned land by the State government or

the Central Government under any ofits schemes and such landis under acquisition;

(vi) a family residing on any land in the urban areas for preceding threeyears or more

prior to the acquisition of the land or whose primary source oflivelihood for three years

prior to the acquisition of the land is affected by theacquisition of such land.

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Definition of Family: "family" includes a person, his or her spouse, minor children;

minor brothers and minor sisters dependent on him: Provided that widows. Divorcees

and women deserted by families shall be considered separate family.

Displaced Family: "displaced family" means any family, who on account of

acquisition of land has to be relocated and resettled from the affected area to the

resettlement area;

Wage Earner: A person who is working with a commercial establishment or working

as a labour in an agriculture land, which is being affected by the project.

Non-Title Holder: A person, who has trespassed Government land, adjacent to his/her

own land or asset, to which he/she is not entitled, and deriving his/her livelihood prior

to the cut-off date.

or a person who is land less and has settled on publicly owned land without permission

and has been occupying publicly owned building without authority prior to the cut-off

date.

Below Poverty Line (BPL): A family whose annual income from all sources is less

than a designated sum as fixed by the concerned State Government in which the project

falls, will be considered to be below Poverty Line.

Vulnerable Person: Unless otherwise specifically mentioned in this document, a

person who has been designated under ‘Below Poverty Line’ category as identified by

the concerned State Government will be considered a vulnerable person.

Disadvantaged persons belonging to SC, ST, disabled/handicapped, and woman

heading the household are also recognized as vulnerable persons. Also vulnerable

persons such as the disabled, destitute, orphans, widows, unmarried girls, abandoned

women ,or persons above fifty years of age; who are not provided or cannot

immediately be provided with alternative livelihood , and who are not otherwise

covered as part of family;

Entitled Person: person adversely impacted by the project and is entitled to some kind

of assistance as per the project entitlement framework

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Titleholders (THs): Persons who possess legal documents in support of claims made

towards ownership of structure or land are titleholder.

Sharecroppers: Persons who cultivate land of a titleholder on certain conditions

Land owner: "land owner" includes any person,-

(i) whose name is recorded as the owner of the land or building or part thereof, in

the records of the authority concerned; or

(ii) any person who is granted forest rights under the Scheduled Tribes and Other

Traditional Forest Dwellers (Recognition of Forest Rights)Act,2006 or

(iii) under any other law for the time being in force; orwho is entitled to be granted

Patta rights on the land under any law of the State including assigned lands: or

(iv) any person who has been declared as such by an order ofthe court orAuthority

Interested Person: "person interested" means-

(i) all persons claiming an interest in compensation to be made on account of the

acquisition of land under this Act;

(ii) the Scheduled Tribes and other traditional forest dwellers, who have lost any

forest rights recognised under the Scheduled Tribes and Other Traditional

Forest Dwellers (Recognition ofForest Rights) Act, 2006;

(iii) a person interested in an easement affecting the land;

(iv) persons having tenancy rights under the relevant State laws including share-

croppers by whatever name they may be called; and

(v) any person whose primary source of livelihood is likely to be adversely

affected;

94

ANNEXURES

95

Annexure I

Guidance on EIA of High impact category Sub-Project

(To be finalised by SPMG with inputs from NMCG/ MoWR,RD&GR as applicable)

Introduction

High impact category investments require a full EA to be done by environmental consultants,

separate from any evaluation performed by the design consultants. The environmental

consultants have to closely interact with the design consultants in order to obtain the necessary

data, information, reports and support as required. The EA process has to be carried out, and

the EA & EMP reports have to be prepared. This guidance includes a typical terms of reference

and also suggests the structure and content of the EA & EMP report. The terms of reference

are general in content. As it is likely that there are some specific environmental issues that

require to be addressed and these are known in advance, these need to be informed to the

environmental consultants.

Terms of reference

The following terms of reference should be used:

Description of Project

To provide a full description of the project, with details on specific sites, populations

impacted, project design, implementation schedule, number / types of connected

industries, details of any pre-implementation activities (i.e. public education and/or

involvement, pilot studies, etc.), operation and maintenance activities, required off-site

investments, project life span, etc. Project description should also include any and all

required information as stipulated below.

Policy and legal Guideline

To collect information on the prevailing national, state and local laws, pertinent to

environmental quality, health and safety, waste management guidelines, air and water quality

regulations, protection of sensitive areas, land uses control and others. Manner of complying

with relevant laws, such as the appropriate avenue for submission of required materials, should

be described in detail.

96

To convey to the contractor / relevant implementing actor the manner in which the enforcing

body will conduct its monitoring / enforcement activities, as well as information as to what

government assistance (e.g. technical assistance) government bodies can provide to the actor

so as to facilitate the actor’s compliance.

To determine its applicability of all laws to the proposed sub-project and to include the specific

clearances/ approvals that has to be obtained by the SGRBA/ contractor/ relevant implementing

actor.

To assist the SPMG/ contractor/ relevant implementing actor in any clearances/ approvals that

may be required to implement the sub-project in terms of completing forms/ applications, and

defending the sub-project before Government committees.

Baseline Study of Proposed Project Area

To assemble, evaluate and present baseline data on the relevant environmental characteristics

of the sub-project area, including changes anticipated before the commencement of the project.

The description of the baseline environmental setting shall be worked out from the secondary

data sources supplemented by the primary data collected as part of the various surveys carried

out as part of the EA preparation.

To describe the physical environment: geology; topography; soils; climate and meteorology;

ambient air quality; noise quality; surface and ground- water hydrology; existing sources of air

emissions; existing water pollution discharges; and receiving water quality, etc. Description

should include both a general overview of overall study area, as well as more detailed

information for specific implementation sites.

To describe the biological environment: flora; fauna; rare or endangered species; sensitive

habitats, including reserved forests, wildlife reserves and sanctuaries etc. Description should

include both a general overview of overall study area, as well as more detailed information for

specific implementation sites.

To describe the socio-cultural environment: population; land use; planned development

activities; community structure; employment; distribution of income, goods and services;

recreation; public health; cultural properties; and tribal people and their usufruct rights,

common property resources, etc. Description should include both a general overview of overall

study area, as well as more detailed information for specific implementation sites.

Public consultation

To carry out public consultation and participation as an integral part of the EA. Consultation

sessions shall be carried out with different stakeholder groups at the local, regional and district

levels, so as to incorporate the various environmental concerns and needs of the community

and the relevant stakeholders. Specific attention should be paid to Project Affected Persons

97

(PAPs), namely, those whose habitations or livelihoods will be directly impacted by the

proposed sub-project.

To ensure the effectiveness of the consultations and the full participation of all stakeholders in

the project, all relevant information shall be shared with the likely PAPs and local NGOs in a

timely manner prior to the consultation and in a form and language that are understandable and

accessible to the groups being consulted.

To ensure that consultations with these groups are carried out at least at the following two

occasions: (a) shortly after environmental screening and before the terms of reference for the

EA are finalized; and (b) once a draft EA report is prepared. Such groups should also be

consulted throughout project implementation as necessary to address EA-related issues relevant

to them, allowing relevant stakeholders the opportunity to share their concerns during both the

design and implementation phases of the project.

To make available both the initial draft EA and the report’s conclusions at all relevant public

locations accessible to PAPs and relevant stake holders. The EA report shall also be disclosed

in website of the SPMG andNMCG.

Impact analysis

To identify, analyse and evaluate the different kind of impacts, and to distinguish between

significant positive and negative impacts, direct and indirect impacts, and immediate and long-

term impacts.

To determine the impacts on sensitive receptors identified during the baseline environmental

analysis.

To determine the impacts on sensitive areas: critical natural habitats (such as conservation

areas, sanctuaries, sacred groves, etc.) and migration routes; “induced development”; historic,

cultural and religious buildings and sites; archaeological sites and tourism areas, etc.

Analysis of alternatives

To describe alternatives that were examined in the course of developing the proposed project

and identify other alternatives, which would achieve the same objectives. The concept of

alternatives extends to siting, design, technology selection, construction techniques and

phasing, and operating and maintenance procedures.

To compare alternatives in terms of potential environmental impacts and suitability under local

conditions. A “no project,” or Business as Usual, scenario should also be considered, wherein

the environmental impacts of taking no action will be estimated.

Mitigation

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To identify feasible and cost-effective mitigation measures that may reduce potentially

significant adverse environmental impacts to acceptable levels, capital and recurrent costs of

the measures. These measures should be identified prior to construction of any investments or

investments.

To specify in a table the description of the measure along with who is responsible and when it

has to be implemented.

To include relevant drawings and technical specifications that would be required to implement

the mitigation measure effectively during the design phase of any project or sub-project.

Monitoring

To prepare detailed arrangements in a plan for monitoring implementation of mitigating

measures and the impacts of the sub-project during construction and operation.

To include in the initial plan an estimate of capital and operating costs, and a description of

other inputs (such as training and institutional strengthening) needed to carry it out. These

estimates should occur during the initial design/planning phase of the sub-project.

To document in the initial plan what will be monitored, who would do it, who would receive

its outputs, how much it would cost, how it would be financed and what other inputs (e.g.

training) are necessary.

To include in the initial plan a list of environmental monitoring parameters, and detailed

specifications (methods, schedule, etc) for performance/compliance monitoring during

construction, and operation stage of the sub-project.

Management

To identify institutional needs to implement the recommendations of the EA. This would

include manpower requirements, skill requirements and training, organisational mechanisms

and information dissemination requirements.

To recommend any further studies of environmental issues which should be undertaken during

project implementation.

Others

To document the important contributors to the EA and to record interagency/forum/consultation

meetings; including list of both invitees and attendees.

Suggested structure and content of an EIA report

The EIA report should have the following structure and content:

Executive Summary- project details, policy Guideline, baseline conditions, significant

environmental impacts, salient points of the analysis of alternatives, salient mitigation and

monitoring measures, and budget.

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Project Description - Concise description of the proposed project and its geographic, ecological,

social and temporal context.

Policy, Legal and Administrative Guideline - Government policies, environmental legislations

and regulations currently under force.

Baseline Data - Assessment of the physical, biological and socioeconomic conditions of the

project locations.

Environmental impacts - Prediction and assessment of the project’s likely positive and negative

impacts, in quantitative terms to the extent possible. The more significant environmental

impacts and those that are considered critical by the public are to be further focused in this

chapter.

Analysis of Alternatives - Comparison of feasible alternatives to the project site / right-of-way,

technology, design and operation – including the ‘without project’ situation – in terms of their

potential environmental impacts

Mitigation and monitoring measures - Enlisting and description of environmental impacts and

the remedial measures to be taken. Preferably, this contains a comprehensive table containing

a brief description of the impact, the type of remedial measure (prevention or mitigation or

enhancement), the description of the measures, phase wherein applicable - pre-construction,

construction and operational phases, and implementation responsibility.

Budgets

Structure and content of an EMP

The EMP report should have the following structure and content:

Introduction - Objective, scope, proponent’s background, brief description of the sub-project

and the purpose of the EMP

Remedial Measures - Description and enlisting of the environmental impacts and remedial

measures to be taken. Preferably, this contains a comprehensive table containing a brief

description of the impact, the type of remedial measure (prevention or mitigation or

enhancement), the description of the measures, phase wherein applicable - pre-construction,

construction and operational phases, and implementation responsibility.

Organizational arrangements for implementation - Institutional Guideline being established to

ensure the implementation of the EMP.

Environmental performance indicators are to be chosen and the basis for their selection. A

linkage between these indicators and the important environmental impacts and the associated

remedial measures needs also to be established.

Monitoring mechanisms to be adopted that include reporting progress, frequency of monitoring,

enhanced monitoring during specific seasons such as monsoons, etc.

100

Mechanisms to ensure an ongoing dialogue with the public during the construction and

operational phases.

The budget for the EMP implementation should be included in the overall sub-project. This

should cover costs – mitigation, monitoring, training and public / stakeholder consultation and

participation - due to be incurred during the construction and operational phases.

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Annexure II

Generic Environmental Guidelines / Management Plan for Low impact

category Investments

(To be finalised by SPMG with inputs from NMCG as applicable)

Activity Potential Negative

Impact/Concern

Mitigation Measures Responsible

Agency for

Mitigation

Monitoring

Agency

I. Sewerage and Sanitation Investments

A. Design and Development Phase

Land

Acquisition **

Loss of tree cover Undertake afforestation in

nearby areas

ULB/ Project

Implementing

Agency

SPMG/ NMCG

Treated Water

Disposal into

nearby stream

***

Pollution of

stream water and

other water bodies

receiving STP

discharges due to

reduction in

efficiency or non

working of STP

Ensure efficient working

condition. – Choice of

treatment process,

construction technique,

equipment and skilled

operation and supervision

critical to maintain effluent

quality compliance.

The treated water quality shall

comply with the standards

laid down by the state

pollution control board for

disposal onto the land, water

body or for irrigation use.

ULB/ Project

Implementing

Agency

SPMG/ NMCG

Sludge

Disposal***

Disposal of sludge

leading to

contamination of

land and water.

Providing adequate and safe

sludge disposal facilities

Design

Consultant,

ULB/ Project

Implementing

Agency

SPMG/ NMCG

Provision for

Accidental

leakages/

bursts **

Flooding of the

nearby areas with

untreated sewage

in event of

accidental

leakages or bursts

The Design Consultants

should design for bypass

arrangements, to discharge

untreated sewage.

Design

Consultants

and EA

SPMG/ ULB

Low lying areas in

the site, which can

get flooded during

monsoons

Provide proper drainage

arrangements so that the water

does not stagnate on the site

Design

Consultants

and EA

SPMG/ ULB

102

Activity Potential Negative

Impact/Concern

Mitigation Measures Responsible

Agency for

Mitigation

Monitoring

Agency

Location of

STP*

Nuisance hazards

to neighbouring

areas.

Careful planning and design

of STP with adequate buffer

zones. Future growth of the

surrounding areas shall be

considered.

Design

Consultants

and EA

SPMG/ ULB

Developing

sewage

pumping

station*

Noise and odour

nuisance to

surrounding areas.

Select appropriate location

away from sensitive locations

such as schools and hospitals.

Provide sufficient buffer areas

Follow standard codes for

selection pumps and other

apparatus. Use less noise

making and easy to operate

equipment.

Design

Consultants

and EA

SPMG/ ULB

B. Construction Phase

Excavation,

cutting and

filling

operations***

Soil and water

contamination by

improper disposal of

construction and

demolition waste.

Ensure immediate

transportation of accumulated

waste to an identified site.

Contractor/

Project

Implementing

Agency

SPMG/

ULBNMCG

Damage to standing

crops due to

construction activities.

Construction activities shall

be planned so as not to

damage any crops. In case if it

is inevitable provide monitory

compensation to the owners

Immediately transport

accumulated construction

waste to a site identified for

the purpose.

Contractor /

Project

Implementing

Agency

SPMG/

ULBNMCG

Temporary flooding

due to excavation

during monsoons.

Provide suitable arrangements

for drainage control.

Contractor /

Project

Implementing

Agency

SPMG/

/NMCG

Noise, vibration and

dust from construction

activities.

Use of less noise generating

equipment for all activities,

provision for personal

protective equipment, ear

muffs, etc. for construction;

avoid construction activities

during nights; and sprinkle

water on site and remove

excess matter from the site as

soon as possible.

Contractor /

Project

Implementing

Agency

SPMG/

/NMCG

Safety hazards to

labor.

Provide adequate safety

precautions such as helmets,

safety shoes, gloves, etc.

Contractor /

Project

Implementing

Agency

SPMG/ /

NMCG

103

Activity Potential Negative

Impact/Concern

Mitigation Measures Responsible

Agency for

Mitigation

Monitoring

Agency

Laying of

sewer network

*

Spillage of fuel and oil Store tanks and drums for

excess capacity; forbid

pouring into soils or drains;

enforce adequate equipment

maintenance procedures

Contractor /

Project

Implementing

Agency

SPMG/ /

NMCG

Noise and vibration

disturbances to

residents and

businesses

Establish schedule and other

specific restrictions; limit

work to daylight hours as

possible; use of less noise

generating equipment, proper

maintenance

Contractor /

Project

Implementing

Agency

SPMG/ /

NMCG

Laying of

sewer network

*

Dust generation Water sprinkling, removal of

excess materials, cleaning of

sites upon completion of

activities.

Contractor /

Project

Implementing

Agency

SPMG/ /

NMCG

Reduced pedestrian

and vehicle access to

residences and

businesses

Establish work sequence and

methods to minimize access

disruption; provide alternative

safe access as possible;

temporary bridges and

crossings, detours and

walkways.

Contractor /

Project

Implementing

Agency

SPMG/ /

NMCG

Temporary water

supply interruptions

Establish coordination

procedures for cut-off;

minimize time for

replacement operations; and

appropriate scheduling as

necessary.

Contractor/

Project

Implementing

Agency

SPMG/

/NMCG

Increased traffic

inconvenience

(emissions,

congestions, longer

travel times)

Use alternate traffic routing;

ensure coordination with local

authorities; routine control

and maintenance of

equipment.

Contractor/

Project

Implementing

Agency

SPMG/ and

Traffic Police

Construction

Camps*

Health impacts due to

absence of housing

and sanitation facilities

in labour camps.

Provision of appropriate

housing, water supply, and

sanitation facilities.

Contractor /

Project

Implementing

Agency

SPMG/ NMCG

Impacts on

surrounding

environment due to

improper drainage and

solid waste

management facilities

in construction camps.

Provide proper temporary

drainage and solid waste

collection and disposal

facilities at the construction

site.

Contractor /

Project

Implementing

Agency

SPMG/

/NMCG

104

Activity Potential Negative

Impact/Concern

Mitigation Measures Responsible

Agency for

Mitigation

Monitoring

Agency

C. Operation Phase

Treatment and

Disposal ***

Impairment of

receiving water quality

in surface/sub-surface

source due to

inadequate /inefficient

treatment.

Contamination

groundwater supplies

due to leaching and

impact on soil and

agriculture

Monitor the treated

sewage/effluent quality and

ensure compliance with PCB

standards for effluent disposal

into surface water bodies, on

land or for the agricultural

use.

The treated water quality shall

comply with the standards

laid down by the state

pollution control board for

disposal onto the land, water

body or for irrigation use.

Operator/ EA SPMG/

/NMCG

Treatment and

Disposal ***

Problems arising due

to bad odour, insects,

polluted air, noise

pollution, etc.

Provide buffer zones in the

form of green belt around the

STP; to be ensured during the

design and development

phase itself.

Operator/ EA SPMG/

/NMCG

Indiscriminate

disposal of sludge

leading to

contamination of land

and soil.

Prepares a sludge disposal

plan and adheres to the same.

Operator/ EA SPMG/

/NMCG

Health and safety of

workers due to the

release of toxic gases

and hazardous

material.

Ensure safe operation and

maintenance practices are

followed, and plans for

emergencies are in place.

Operator/ EA SPMG/

/NMCG

Reduced land values

in nearby areas and

aesthetics affected.

Adequate buffer zones during

development and construction

phase should mitigate the

affect considerably.

EA SPMG/

/NMCG

Note: *** denotes – Significant Impact; ** Denotes-Moderate Impacts and *- Minor Impact.

105

Annexure-IIA: Sample EMP for the Sewage Treatment Plant

Activity Potential Negative

Impact/Concern

Duration of

impact

Mitigation Measures Responsible agency

Sewerage and Sanitation Investments

A. Design and Development Phase

Sewage

Treatment plant

Treated water

disposal into

nearby stream

Pollution of received water

body ( river) or land due to

inefficient treatment or non-

operation of STP

Temporary The treated water quality shall comply with the

prescribed standards of the bid document and

other applicable conditions of consent to

establish issued by the state pollution control

board.

Selection of best available sewage treatment

technology with High BOD removal efficiency.

Ensuring development and compliance to

standard operation and maintenance practices.

Provision of effective screening at inlet of STP

for removal of grit, fine plastics and other

suspended solids

Provision of effective separation and controlled

disposal of digested sludge

Provision effective disinfection before

discharge of treated water for irrigation or to

river

DBO Operator

STP Breakdown Discharge of untreated

sewage leading river pollution.

Temporary Provision of adequate holding capacity

adequate for storage of sewage to prevent flow

of untreated sewage to river.

DBO Operator

106

Flooding of STP

area

Rain water may flood the STP

area in absence of adequate

provision of diverting rain

water flow towards STP from

periphery area.

Temporary Suitable drainage provision shall be made to

divert the rain water likely to be accumulated

from peripheral catchment area of STP, to

natural drainage stream or area.

DBO Operator

Sludge disposal Disposal of sludge leading to

contamination of land and

water.

Permanent Efficient Sludge dewatering with minimum land

involvement shall be adopted.

Provision shall be made for intermittent storage

of digested sludge at STP site.

The digested sludge shall be utilised as manure

or disposed to suitable site as approved by DBO

engineer. If disposal is made for land fill, the site

shall be located away from habitation, and

water bodies and shall be pre-approved by

concerned authorities like Municipal

corporation, Pollution Control Board or urban

development authority.

DBO Operator

Provision for

safety of

workers and

safe operation

of STPs

Accidents leading to injury or

death of workers

( Fall of workers from Height,

Fall into deep water tanks,

Short Circuiting)

Accidental slip, trip and fall in

walk ways or work areas

Fire

Exposure to toxic gas such as

chlorine

Permanent Ensure adequate provision of Handrails on both

sides of walkways close to deeper tanks and

STPs need to be ensured;

All electric switches ( including unit specific on-

off switches installed at respective units ) and

panels should have adequate protection from

rain water to prevent short circuiting

Proper earthling with installation of earth

circuit breakers shall be made

Walk ways designs shall be made with proper

slope to avoid accumulation of rain water.

DBO Operator

107

Material handling and storage shall be so

designed that walk way surface remains free

from wet or oil surface situation to prevent

slips, trip or fall accidents.

Provision of interlock system to either stop STP

or divert untreated effluent to holding tanks in

case of short circuiting, or mall functioning of

STP

Prepare emergency preparedness plan

including identification of assembly area in case

of fire

Location of STP Noise/Odour/fly nuisance

hazards to neighbouring

areas.

Cutting of Trees

Permanent Ensure minimum noise generation at pump

station in STP;

Minimize Tree cutting if involved.

Tree plantation of at least two row around the

periphery of STP site and landscaping to

prevent spread of bad odour with large canopy/

broad leaves trees like Sesum, Neem, Bargad,

Teak, Sal, etc.

Accumulated sludge and solid waste to be

cleared within 24 hours and spraying of suitable

herbicides on accumulated sludge/solid waste

to reduce odour.

DBO Operator

Sewage Pumping

Station

Pumping of

sewage to STP

Noise and odour nuisance

hazards to neighboring areas.

Cutting of Trees

Permanent Ensure minimum noise generation at pump

station in SPS by use of less noise generating

equipment meeting prescribed noise standards

as applicable and enclosed generators.

Minimize Tree cutting if involved.

Tree plantation of at least two row around the

periphery of SPS site and landscaping to prevent

DBO Operator

108

spread of bad odour with large canopy/ broad

leaves trees like Sesum, Neem, Bargad, Teak,

Sal, etc.

Accumulated sludge and solid waste to be

cleared at short intervals and spraying of

suitable herbicides on accumulated

sludge/solid waste to reduce odour.

Provision for regular maintenance and

switching off equipment when not in use;

B. Construction phase

Sewage

treatment

plant and

Sewage

pumping

station

Excavation Loss of topsoil due to excavation

activities.

Temporary Excavation shall be planned in such a

manner that such that no damage occurs to

existing structures.

Top soil should be separately stockpiled and

utilized for green belt development or

landscaping after completion of work

DBO Operator

Construction waste Temporary All the associated construction waste should be

properly managed by storing and disposing off

at suitable refusal sites approved by DBO

engineer.

DBO Operator

Nuisance due to domestic solid

waste disposal

Temporary Provide two bins for recyclable and non-

recyclable wastes.

Ensure that recyclable and non-recyclable

waste are collected in segregated manner in

theses bins before disposal. Recyclable material

should be sold. Non-recyclable material should

be disposed to designated land fill area of the

city.

Provide adequate sanitation facility for workers

at construction sites.

DBO Operator

109

Dust Generation due to

construction activities

Temporary Excavated material transported by trucks will be

covered and/or wetted to prevent dust

nuisance.

Suppressing dust generation by spraying water

on stockpiles and unpaved movement areas

Water sprinkling over excavated areas, unpaved

movement areas and stockpiles.

Transportation of loose construction material

through covered trucks.

Use dust curtains (polysheets/ sheets) around

the construction area for containing dust

spread.

Construction equipment must comply with

pollution norms and carry Pollution under

Control certificate.

DBO Operator

Temporary flooding due to

uneven dumping of construction

waste

Temporary The construction waste material should be

stored on the higher areas of the site and or

areas where water may accumulate creating

flooding like situation

DBO Operator

Temporary flooding due to

uneven dumping of construction

waste

Temporary The construction waste material should be

stored on the higher areas of the site and or

areas where water may accumulate creating

flooding like situation

DBO Operator

Spillage of fuel and oil Temporary Care to be taken to store fuel and oil (if

required) at a place away from any drainage

channel/nalla preferably to be stored in drums

mounted on a concrete paved platform with

slop draining to small spills collection pit.

DBO Operator

110

2http://moef.gov.in/citizen/specinfo/noise.html

Noise and vibration disturbances

to residents and businesses

Temporary Construction activities to be carried out in day

time with prior intimation to local residents and

shop keepers.

Use of low noise and vibrating equipment (such

as enclosed generators with mufflers,

instruments with built in vibration dampening

and improved exhaust), to meet standards as

prescribed by CPCB2.

Provision of protective equipment ( PPE) like

ear muffs and plugs for construction workers. .

Provision of noise barriers as feasible in

inhabited areas, particularly near sensitive

zones like hospitals, schools etc.

DG set to be fitted acoustic enclosure.

DBO Operator

General:

safety

during

constructi

on

Safety and Health

Hazard

Safety hazards to labours and

public

Temporary Comply with the Occupational health and

Safety act of India

Ensure that the contact details of the police or

security company and ambulance services

nearby to the site.

Ensure that the handling of equipment and

materials is supervised and adequately

instructed.

Follow safe practices for working at height or

confined area or underground working for

safety of workers

Erect warning signs/ tapes and temporary

barriers and/or danger tape, marking flags,

lights and flagmen around the exposed

DBO Operator

111

construction works warn the public and traffic

flow of the inherent dangers.

Provide adequate PPE to workers such as

helmets, safety shoes, gloves, dust masks,

gumboots, etc. to workers

Provide handrails on both sides of walkways

close to deeper tanks and STPs need to be

ensured;

Smaller on and off switches at STP units to be

installed with protection from rain water to

minimize electrical short circuit;

Monthly reporting of all accidents and

immediate reporting to DBO engineer and

owner.

Construction

camps (if

adopted)

Sanitation Nuisance due to absence of

facility of sanitation and solid

waste management

Temporary Labour camp if provided, must have adequate

provision of shelter, water supply, sanitation

and solid waste management

DBO Operator

C. Operation phase

Sewage

treatment

plant and

Sewage

pumping

station

Treatment and

Disposal of Treated

Water and Sludge

River, land or ground water

pollution due to discharge of

untreated or partially treated

sewage due to inadequate or

inefficient STP operations.

Permanent Monitor the treated sewage quality and ensure

compliance with PCB standards for effluent

disposal into surface water bodies, on land or

for the agricultural use.

Follow standard operating procedures for

operation and maintenance.

Undertake periodic audit as per these

procedures.

DBO Operator

112

Comply with all applicable condition of consent

to operate

Quarterly monitoring of influent sewage,

treated sewage, upstream and downstream

point of treated sewage disposal point to river

Problems arising due to bad

odour, insects, polluted air,

Temporary Maintain the green belt as per provision of

design to prevent spread of bad odour with

large canopy/ broad leaves trees like Sesum,

Neem, Bargad, Teak, Sal, etc.

Accumulated sludge and solid waste to be

cleared within 24 hours and spraying of suitable

herbicides on accumulated sludge/solid waste

to reduce odour.

Quarterly monitoring of Ambient Air Quality

with respect to PM10, PM2.5, Sox and NOx, CO

and Odour at three locations ( at STP site,

minimum 500 m away from STP site in up-wind

and down-wind direction of STP area.

DBO Operator

Increase in Ambient Noise Level

and discomfort to neighbouring

people

Temporary Proper handling and regular maintenance of

operating machines including pumps,

generators, air diffusers, etc.

Quarterly Monitoring of Ambient Noise level to

check compliance to standards.

Quarterly monitoring of ambient noise levels (

day and night) at same locations as of ambient

air monitoring

DBO Operator

Indiscriminate disposal of sludge

leading to contamination of land

and soil.

Temporary Prepares sludge disposal plan as per desire

stage provisions and guidelines and adhere to

the same.

DBO Operator

113

Ensure proper functioning of STP for digestion

of sludge and ensure adequate functioning of

dewatering units for efficient functioning of

system

River, land or ground water

pollution due to discharge of

untreated or partially treated

sewage due to inadequate or

inefficient STP operations.

Temporary Ensure compliance with PCB standards for

effluent disposal into surface water bodies, on

land or for the agricultural use.

Follow standard operating procedures for

operation and maintenance.

Undertake periodic audit as per these

procedures.

Comply with all applicable condition of consent

to operate

DBO Operator

Sewage

Pumping

Station

Waste Handling Bad odour, Health hazard and

public nuisance

Temporary Provision for regular clearance of sludge and

solid waste to minimize odor nuisance

Ensure maintenance of Green belt as planned

Periodic disposal of accumulated sludge/solid

waste to designated land fill sites of the city.

DBO Operator

General

Safety

Workers exposure

to

hazardous

materials/

situations

Serious/health/ safety hazards Temporary Ensure availability of PPE for maintenance

workers.

Follow safety measures and Emergency

preparedness plan evolved at design stage

DBO Operator

114

Annexure-IIA: Sample EMP for the Sewerage Network

Activity Potential Negative

Impact/Concern

Duration of

impact

Mitigation Measures Responsible

agency

Sewerage and Sanitation Investments

A. Design and Development Phase

Sewerage

Network (

Trunk Sewer

Line)

Accidental leakages/

bursts

Due to accidental burst or

leakage of sewers, flooding of

the nearby areas

Backlogging due to

unexpected heavy flow rates

Temporary Designing sewers with adequate capacity and flow velocity

Provision for Regular inspection and maintenance of the

sewers

Preparation of safety and Emergency Preparedness plan

DBO

Operator

Sewage

Pumping

Station

Location of Sewage

Pumping Station and

Pumping of sewage

from District C to

STP

Noise and odour nuisance

hazards to neighboring areas.

Cutting of Trees

Permanent

Ensure minimum noise generation at pump station in SPS

by use of less noise generating equipment meeting

prescribed noise standards as applicable and enclosed

generators.

Minimize Tree cutting if involved.

Tree plantation of at least two row around the periphery of

SPS site and landscaping to prevent spread of bad odour

with large canopy/ broad leaves trees like Sesum, Neem,

Bargad, Teak, Sal, etc.

Accumulated sludge and solid waste to be cleared at short

intervals and spraying of suitable herbicides on

accumulated sludge/solid waste to reduce odour.

DBO

Operator

115

Provision for regular maintenance and switching off

equipment when not in use;

B. Construction phase

Sewerage

(laying of

sewers) and

Sewage

Pumping

station

Excavation, cutting,

back filling,

compaction and

construction

operations

Damage to underground utilities

like water, gas line, electricity

and telephone conduits, etc. due

to construction activities.

Temporary Identify existing underground other utility structures, lines

through available records and in consultation with

concerned authorities and plan construction activities

accordingly to minimize damage to such utilities. These

underground utilities encountered in excavating trenches

carefully shall be supported, maintained and protected

from damage or interruption of service until backfill is

complete and settlement has taken place.

DBO

Operator

Accidents/ damages due to

erosion/ sliding of vertical sides

of excavated trenches while

places the pipes

Temporary Maintaining the excavation by Shoring trench sides by

placing sheeting, timber shores, trench jacks, bracing, piles,

or other materials

Exposed surface shall be resurfaced and stabilized.

Exposed surface will be resurfaced and stabilized by

making the sloping sides of trench to the angle of repose at

which the soil will remain safely at rest.

DBO

Operator

Generation of substantial debris,

top soil and muck during

construction

Temporary Top soil shall be preserved and may be used for agricultural

purpose or development of city parks.

Soil and debris may be managed for planned land filling and

landscaping;

Debris may be suitably stored to filling back the excavated

areas after placing the trunk sewer lines.

DBO

Operator

Dust Generation ( Air Pollution)

due to excavation, cutting, back

filling and compaction

operations

Temporary Water sprinkling over excavated areas, unpaved

movement areas and stockpiles.

Transportation of loose construction material through

covered trucks.

DBO

Operator

116

Use dust curtains (polysheets/ sheets) around the

construction area for containing dust spread at SPS

building construction site.

Construction equipment must comply with pollution

norms and carry Pollution Under Control certificate.

Noise and vibration disturbances

to residents and businesses

Temporary Construction activities to be carried out in day time with

prior intimation to local residents and shop keepers.

Construction work near schools and colleges to be carried

out during vacations and work near hospitals to be

completed on priority basis (in shorter time period with

alternate provision of traffic, accessibility of exit/entry

gates etc.).

Use of low noise and vibrating equipment meeting

prescribed noise standards.

Provision of protective equipment (PPE) like ear muffs and

plugs for construction workers. .

Provision of noise barriers in inhabited areas, particularly

near sensitive zones like hospitals, schools etc.

DG set to be fitted acoustic enclosure.

DBO

Operator

Temporary flooding due to

excavation during monsoons or

blockage of surface drains

Temporary Stockpiled areas to be bordered by berms;

Stockpiles to be done in high areas to avoid flow in storm

water run-off channels and erosion;

DBO

Operator

Increased traffic inconvenience

(emissions, congestions, longer

travel times, blockage of access)

Temporary Alternate traffic routing must be adopted in consultation

with concerned traffic police authorities. Proper traffic

planning be made for narrow lane areas.

Work should to be completed on priority near business and

market place to minimize business loss.

DBO

Operator

117

Care should be taken to minimize congestion and negative

impacts at schools and hospitals. Safe access shall be

maintained to these places during construction.

Provide temporary crossing/ bridges as may be required to

facilitate normal life and business

Settlement of backfilled area

after construction

Temporary The backfilling material shall be free from petroleum

products, slag, cinders, ash or other material.

Backfilling activity shall be completed within five days of

laying of sewer.

Proper compaction as per the soil condition and retain the

original level of alignment and grade.

DBO

Operator

Spillage of fuel and oil Temporary Care to be taken to store fuel and oil (if required) at a place

away from any drainage channel/nalla preferably to be stored

in drums mounted on a concrete paved platform with slop

draining to small spills collection pit.

DBO

Operator

Nuisance due to solid waste

disposal

Temporary Provide two bins for recyclable and non-recyclable wastes.

Ensure that recyclable and non-recyclable waste are

collected in segregated manner in theses bins before

disposal. Recyclable material should be sold. Non-

recyclable material should be disposed for designated land

fill area of the city.

Provide adequate sanitation facility for workers at

construction sites.

DBO

Operator

118

General:

safety

during

constructi

on

Accidents Safety hazards to labours and

public

Temporary Comply with the Occupational health and Safety act of

India

Ensure that the contact details of the police or security

company and ambulance services nearby to the site.

Ensure that the handling of equipment and materials is

supervised and adequately instructed.

Erect warning signs/ tapes and temporary barriers and/or

danger tape, marking flags, lights and flagmen around the

exposed construction works warn the public and traffic

flow of the inherent dangers.

Provide adequate safety precautions such as helmets,

safety shoes, gloves, dust masks, gumboots, etc. to

workers

Monthly reporting of all accidents and immediate

reporting to DBO engineer and owner.

DBO

Operator

C. Operation phase

Sewer line Leakage/ overflows Water pollution and possibility of

mixing with water supply line

Temporary Regular monitoring of sewer line and manholes for visible

leakages/ overflows.

Immediate repair shall be carried out to plug the leakages.

Restore the sewer and other utility services if damaged due

to leakages.

DBO

Operator

Sewage

Pumping

Station

Waste Handling Bad odour, Health hazard and

public nuisance

Temporary Provision for regular clearance of sludge and solid waste to

minimize odor nuisance

Ensure maintenance of Green belt as planned

Periodic disposal of accumulated sludge/solid waste to

disposal site as approved by DBO engineer.

DBO

Operator

119

Sewage

Cleaning

Equipment

Extracted Sewage

Sludge handling

and cleaning

equipment

maintenance waste

handling

Bad odour, Health hazard and

public nuisance and possible

land contaminations

Temporary Ensure that extracted sewage sludge collected during

sewers cleaning are disposed to disposal site as approved

by DBO engineer.

Sewage solids shall not be disposed on road sides or non-

designated areas.

Equipment cleaning waste shall be disposed to public

sewer or STP inlet for treatment

Waste oil if any generated shall be separately collected. It

shall be sold to authorized waste oil recyclers.

DBO

Operator

General

Safety

Workers exposure

to toxic gases in

sewers and

hazardous

materials during

sewer

maintenance work

Serious/health/ safety

hazards

The toxic gases are likely to

contract communicable

diseases from exposure to

pathogens present in the

sewage.

Temporary During cleaning/ maintenance operation, the sewer line

will be adequately vented to ensure that no toxic or

hazardous gases are present in the line.

Ensure availability of PPE for maintenance workers.

Follow safety and Emergency Preparedness plan prepared

at design stage

Monthly reporting of all accidents and immediate

reporting to DBO engineer and owner.

DBO Operator

120

Annexure III

Roles and Responsibilities of Social Development

Specialists

LEVELS ROLES and RESPONSIBILITIES

NMCG

Social Development

Officer

Finalize ESMF;

Provide policy guidance to the state level counterparts

Ensure dissemination of R&R Policy at national level

Monitoring R&R and Land acquisition activities. Make budgetary

provisions for R&R activities

Liaison with state administration for land acquisition and

implementation of RAP;

Participate in state level meetings

Finalize TOR of contracting NGO for implementation and external

agency for monitoring and evaluation

Prepare training schedule for state and project level social

development officials for capacity building to implement the

RAP;

Prepare TOR for any studies required and qualitative dimensions

to the implementation of RAP;

Facilitate appointment of consultants to carry out the studies and

co-ordinate them.

Monitor physical and financial progress on implementation of

RAP;

SPMG/ – Social

Development

Officer

Co-ordinate with district administration and NGO responsible for

implementation of ESMF/ RAP;

Translation of R&R policy in local language and ensure

dissemination at state; district and community level - prepare

pamphlets on policy for information dissemination

Coordinate with the state and district level officials for acquisition

of private land and implementation of ESMF/ RAP; Liaison with

district administration for dovetailing of government schemes for

Income Restoration Schemes

Monitor physical and financial progress of implementation of

RAP,

Participate in the project level meetings

Report progress, highlighting social issues not addressed, to

provide for mid-course correction,

Coordinate training of project level staff with agencies involved.

Organise by-monthly meetings with NGO to review the progress

of R&R, Tribal people and gender actions

Project Level –

Executing Agency

(EA)

Disclosure of RAP and entitlements and also ensure that copies are

made available to the PAPs;

Oversee land availability and coordinate with local revenue

official for land acquisition

121

LEVELS ROLES and RESPONSIBILITIES

Dissemination of Project Information at various stages of project

as envisaged in the ESMF/ RAP

Ensure community involvement in every stage of the sub project

Documentation and disclosure of consultations

Shall be first level of grievance redressal and will guide PAPs

further to redress their grievances

Ensure disbarment of compensation and / or entitlements as per

schedule

Responsible for addressal of additional unforeseen impacts during

construction

Ensuring incorporation of social issues in DPRs

Supervising the ESMF tasks during implementation & its progress

Collect data pertaining to the evaluation and monitoring indicators

Will prepare monthly progress report and quarterly process

documentation report

Social Specialist of

Supervision

Consultants

Ensure social screening of investments;

Implement the agreed social mitigation measures;

Ensure compliance of national and other applicable laws and Acts

pertaining to social,

Sensitize and help build capacity of the EA officials towards the

implementation of the ESMF provisions.

Assist Environment and Social Development Officer of EA in

preparing monthly progress and quarterly process documentation

reports

NGO

Conduct the verification for the affected families and update the

census and socio-economic data

Develop rapport with PAFs and between PAFs and EA

Design and carry out information campaign and consultations

with the local community during the implementation of the RAP,

Provide information to PAFs and local community and conduct

awareness on R&R Policy and distribute the policy to the affected

families

Prepare and submit the micro plans for the PAFs

Assist the PAFs in receiving the compensation and rehabilitation

assistance

Motivate and guide PAP for productive utilization of the

compensation and assistance amount

Assess the level of skills and efficiency in pursuing economic

activities, identify needs for training and organize training

program

Assist PAFs in approaching the grievance redressal mechanism

Assist the PAFs in getting benefits from the appropriate local

development schemes

Prepare monthly progress reports and participate in monthly

review meetings

Participate in the training program for capacity building

Carry out other responsibilities as required from time to time

122

Annex IV

Sample Terms of Reference for Environmental and Social Audit of

Namami Gange Program Investments

1. Background:

The National Ganga River Basin Authority with an objective to ensure no entry

of polluted water into the River Ganga is supporting number of pollution

prevention and river conservation activities in the five basin states of UP, Bihar,

Jharkhand, West Bengal and Uttaranchal.

Namami Gange program believes that each of its investments will improve living

standards and the environment of the River in and around project locations.

Namami Gange program is committed to implementing these activities in an

environmentally sound, socially acceptable way. This has reflected its

environmental and social commitments through its Environmental and Social

Management Framework (ESMF). All investments financed by Namami Gange

program should be in consonance with its ESMF.

2. Objectives:

To audit the conformity of environmental and social categorisation of

investments approved by the Namami Gange during the Financial Year

_________, with respect to the categorisation prescribed in the ESMF of

Namami Gangeprogram

To audit the compliance of the environmental and social aspects of approved

investments, which are under implementation.

3. Outline of the tasks to be carried out:

The, following tasks are to be carriedout:

(a) To Audit the Environmental and Social Categorisation of Approved Investments:

The auditprocess will check the conformity of environmental and social

categorisation of investments approved by the Namami Gange with respect to

environmental and social categorisation in the ESMF of Namami Gange program

(i.e.) whether the Environmental and Social categorisation specified for the

approved investments are in conformity with environmental and social

categorisation specified in the ESMF.

123

(b) Auditing the compliance of the Approved Investments:

The audit process will check the compliance of environmental and social aspects

during construction, operation and maintenance of investments approved by

Namami Gange program, across all categories and different sub-project locations.

Adequacy of the ESMP (including RAP, where relevant)

Audit the adequacy of the ESMP (including RAP, where relevant)and recommend

practicable measures to include/improve the management measures and the

agency responsible for carrying out the measures, wherever found inadequate.

The best practices and possible environmental and social enhancement measures

with respect to the audited investments will be documented.

(c) Reporting

To review the status report submitted by the project Management consultant on

the implementation of ESMP (including RAP, where relevant) and the process

adopted by design consultants in identification and mitigation measures while

preparing the DPRs. To report on the adequacy and timely submission of the

Quarterly Progress Reports including the process involved in addressing the risk

management.

(d) Audit Report

The findings of the review and audit should be summarized in a tabular form and

will include compliance, non-compliance, best practices and enhancement

measures along with the name of the agency responsible for each of the above. In

case of non-compliances, the consultants need to undertake a follow up visit after

giving sufficient time (depending on the type of corrective measures) for the

agency responsible to take corrective actions.

4. Final outputs (i.e., Reports, drawings etc.). That will be required of the

Consultant;

Environmental and Social Audit Reports indicating conformity of investments

approved by Namami Gange, relating to the financial year _______, with

ESMF Framework.

Environmental and Social Audit report indicating the conformity to agreed

standards during construction, operation and maintenance of the approved

investments.

124

Annex V

Comparative Analysis of Right to Fair Compensation and Transparency in LAR&R (RFCTLAR&R) Act 2013 and

World Bank Policy 4.12, Involuntary Resettlement and 4.11 Indigenous People.

Seria

l No.

Topics/Issues/Ar

eas

World Bank OP4.12 RFCTLAR&R Gaps and impacts

1 Application of

LA

Direct economic and social

impacts that both result from

Bank-assisted investment

projects. Applies to all

components of the project that

result in involuntary

resettlement, regardless of the

source of financing.

Section 2 Applicable to projects where government

acquires land for its own use, hold and control, including

PSU and for public purpose; for PPP where ownership of

land continues to vest with govt; private companies

where 80% of land owners3 have given consent or 70%

in case of PPP.

Currently not applicable to National

Highways but will be applicable to

state highways and rural roads. This

is likely to create conflicts that state

governments may face for meting

out differential treatment to their

citizen’s for similar types of

infrastructure i.e. roads.

Principle of

avoidance

Involuntary resettlement should

be avoided where feasible, or

minimized, exploring all viable

alternative project design

Alternatives to be considered as Act in chapter II, point #

4 (d) says "extent of land proposed for acquisition is the

absolute bare minimum needed for the project; and (e )

says land acquisition at an alternate palce has been

considered and found not feasible.

RFCTLARR to prevail

Linkages with

other projects

No such provision

3 Land Owner – whose land and immovable property acquired and land assigned by state or central govt under any scheme (Section 3 c (i) and (v))

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2. Application of

R&R

Same as above In addition to the above,

Section 2(3) land purchased by private company as

prescribed by Govt. or when part acquired by govt

3. Affected area Involuntary take of land

resulting in loss of shelter, loss

of assets or access to assets,

loss of income sources or

means of livelihood

Section3(b): Area notified for ‘acquisition’

4. Family

All adversely affected people

whether have formal legal

rights or do not have formal

legal rights on land

Section 3(m) includes person, his and her spouse, minor

children, minor brothers and sisters dependent.

Widows, divorcees, abandoned women will be

considered as separate family.

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5. Affected family

for eligibility

Section 3 (a): whose land and other immovable property

acquired.

(b)&(e): Family residing in affected area such as

labourers, tenants, dependent on forest and water bodies,

etc whose primary source of livelihood is affected due to

acquisition

(c)Scheduled tribes and other forest dwellers whose

rights recognized under the Forest Dwellers Act 2006.

(f) Family assigned land by state or central government

under any schemes

This provision leaves scope for

interpretation and some of the

issues remain unanswered

especially in context of urban areas

when people use public land for

shelter and livelihood and is not

acquired but transferred from one

agency to another. Will they be

recognized as “affected family”?

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(g) Family residing on any land in urban area that will be

acquired or primary source of livelihood affected by

acquisition.

6. Cut-Off date Date established by the

borrower and acceptable to the

Bank. In practice it is the date

of census.

Section 3 c (ii), (iv) (vi): Families residing for preceding

3 yrs or more prior to “acquisition of land”.

In urban setting, it may be difficult

for the families to provide proof of

their residence on such land.

7. Non-application

of Chapter II

Stand-alone SIA for all

investments

Section 6(2): Irrigation projects where EIA is required

under other laws, provisions of SIA not applicable.

7. Consultation –

Phase I during

preparation

Consultation a continuous

process during planning and

implementation

Section 4(1) date issued for first consultation with PRIs,

Urban local bodies, Municipalities, etc to carry out SIA.

Section 5: Public hearing of SIA in affected area. Provide

adequate publicity of date and time.

-

8. Time duration to

prepare SIA and

SIMP

Draft Social Assessment,

Resettlement Action Plan and

or Social Management

Framework prepared before

appraisal.

Section 4 (2): within six months from the date of its

commencement.

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9. Disclosure –

Stage I

To be disclosed before

appraisal and 120 days before

board date.

Section 6(1): Translated in local language available in

PRI institutions and local urban government bodies;

district administrative offices and websites of concerned.

government agency.

-

10. Formation of

Expert Group to

Appraised by Bank staff Section 7(1): Constitute a multi-disciplinary Expert

Group include members of decentralized govt Institutes

(PRIs, ULBs).

The Act does not stipulate the time

for the formation of the group.

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appraise SIA

and SIMP

11. Time stipulated

for Group to

submit its report

Before the decision meeting for

appraisal

Section 7(4): Submit its report within two months from

the date of its constitution

-

12. Scope of work

of the Expert

group

Social Assessment, resettlement

action Plan reviewed and

appraised by Bank staff and

approved by Regional

safeguard advisor

Section 7 (4)(a&b): assess whether it serves any public

purpose or not; if social costs outweigh potential benefits

then should be abandoned;

Section 7 (5) (a&b): if serves public purpose, then it has

considered minimum land acquisition, and alternate

options to minimize displacement; potential benefits

outweigh social costs

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13. Consultation –

Phase II during

appraisal

In practice consultation

workshops are organized in

project affected areas at district

and state level.

Section 2 (2): Prior consent of 80% and 70% of land

owners in PPP and where private company has

approached the govt to acquire balance land has been

obtained,

-

14. Disclosure –

Stage II

Information dissemination

through the planning and

implementation

Section 7 (6): recommendations of expert group under

7(4&5)to be made public in local language in district and

block administrative office and PRIs

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15. Minimize

impact on multi-

crop land

Select feasible design that has

minimal adverse impact.

Section 10: In case multi-crop land is to be acquired

under exceptional circumstances, the area to be acquired

cannot exceed aggregate of land of all projects in district

or state. The area to be acquired cannot exceed the total

net sown area of the district or state.

-

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Wasteland equivalent to twice the area acquired will be

developed.

16. Information

dissemination of

preliminary

notice

Continuous part of the

preparation and participation

Section 11 (1), (2) & (3): Notice published in local

language and meetings called of gram sabahs,

municipalities to provide full information about the

purpose of the project, summary of SIA and particulars

of administrator appointed for R&R’ summary of R&R

scheme

-

17. Updating land

records

To be part of RAP Section 11 (5): Once established that the land is required

for public purpose, accordingly notice to be issued under

section 19 following which land records to be updated

within two months

-

18. Census and

preparation of

R&R schemes

To be part of RAP Section 16 (1) (2): carry out census of affected people

and their assets to be affected, livelihood loss and

common property to be affected; R&R scheme including

time line for implementation.

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19. Information

dissemination

and Public

hearing - Stage

III

Consultation throughout the

process is mandatory

Section 16(4)&(5): mandatory to disseminate

information on R&R scheme including resettlement area

and organize public hearing on the Draft R&R scheme in

each Gram Sabha, Municipality and consultations in

Scheduled area as required under PESA.

-

20. Approval of

R&R Scheme

Section 17 & 18: Draft R&R Scheme to be finalized after

addressing objections raised during public hearing and

approved.

-

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21. Final declaration

of R&R Scheme

Approved RAP including

budgetary provisions to

implement it

Section 19 (2): Only after the requiring body has

deposited the money will the govt issue the notice along

with 19(1).

-

22. Time period

stipulated.

Included in RAP - Time line

synchronized with

Government’s procedures or

adopts innovative methods to

reduce the time which is based

operated on the principles of

participation and transparency.

Section 19 (2): the entire process to update land records,

disseminate information, preliminary survey, census,

hearing of objections, preparation of R&R schemes and

approval, deposit of money must complete within 12

months from the date on which section 11, the

preliminary notice issued.

Section 19 (7): If the final declaration not made within

12 months of section 11 (1), the process will lapse,

except under special circumstances.

-

23. Preparation of

land acquisition

plans

Section 20: Land marked, measured for preparation of

acquisition plans.

-

24. Hearing of

claims

Section 21(1) (2): Notices issued indicating govt’s

intension to take possession of land, and claims on

compensation and R&R can be made not less than one

month and not more than six month from the date of

issue of section 21(1).

-

25. Time period

stipulated for

declaring the

award

Section 25: It is required to announce the award within

12months of issue of Section 19 (final declaration to

acquire land, approved R&R scheme) after completing

land acquisition plans, hearing of objection, settling

individual claims for declaration of the award. If award

There is still some ambiguity. Does

it imply that notice issued under

Section 11 to carry out SIA too will

lapse?

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Included in RAP.

not made within the stipulated time, the entire

proceedings will lapse.

26. LA Act 1984

deem to lapse

and

RFCTLAR&R

is applicable

Section 24: where award is not declared under section

11, or where made five years ago but land not taken in

possession or where award declared but money not

deposited in the account of majority of beneficiary.

-

27. Methodology

for determining

market value for

land

Full replacement Cost Section 26 and First Schedule: Recognizes 3 methods

and whichever is higher will be considered which will be

multiplied by a factor given in Schedule First;

compensation given earlier will not be considered; if

rates not available floor price can be set; steps to be taken

to update the market value.

-

28. Valuation of

structures

Full Replacement cost Section 29 (1) without deducting the depreciated value. -

29. Solatium and

interest

Section 30(1) 100% of the compensation amount

Section 30(3): 12% per annum on the market rate from

the date of notification of SIA to the date of ward or land

taken over

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30. R&R Award Total cost included in RAP to

resettle and rehabilitate the

affected persons and assist in

their efforts to improve their

livelihoods and standards of

living or at least to restore

Section 31, Second Schedule: A family as a unit will

receive R&R grant over and above the compensation and

those who are not entitled to compensation.

Second Schedule: Homeless entitled to constructed

house, land for land in irrigation projects in lieu of

compensation, in case of acquisition for urbanization

-

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them, in real terms, to pre-

displacement levels or to levels

prevailing prior to the

beginning of project

implementation, whichever is

higher

20% of developed land reserved for owners at a prices

equal to compensation’ jobs or one time payment or

annuity for 20 years’ subsistence grant, transportation,

land and house registered on joint name husband and

wife, etc

31 Transparency Section 37(1): Information of each individual family

including loss, compensation awarded, etc will be

available on the website.

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38. Possession of

land

Taking of land and related

assets may take place only after

compensation has been paid

and, where applicable,

resettlement sites and moving

allowances have been provided

to the displaced persons.

Section 38(1): Land will be taken over by the

government within three months of compensation and 6

months of R&R benefits disbursed; infrastructure

facilities at resettlement sites will be completed within 18

months from the date of award made under section 30 for

compensation; in case of irrigation and hydle projects

R&R completed six months prior to submergence.

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39. Multiple

displacement

Section 39: Additional compensation equivalent to

compensation determined will be paid to displaced

This section does not cover those

who may not be physically

displaced but lose land over a

period of time for multiple projects,

expansion works or periodic

widening of roads, etc. and may be

left with marginal holding or

landless.

31. Acquisition for

emergency

purpose

Not permeable in bank funded

projects

Section 40 (5): 75% additional compensation will be paid

over and above the compensation amount

-

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32. Prior consent

before

acquisition and

alienation

Mandatory to carry out Free,

Prior, Informed Consultation

with Indigenous people.

Section 41(3) Mandatory to get consent from Gram

sabah, Panchayat, Autonomous Councils in Scheduled

areas.

-

33. Development

plans for SC and

ST

Indigenous Peoples’

Development plan required

along with RAP.

Land for land for is an option

across all sectors.

Section 41: Separate development plans to be prepared,

settle land rights before acquisition; provision of for

alternate fuel fodder, non-timber produce on forest land

to be developed within 5 years; 1/3rd compensation

amount to be paid as first installment and rest at the time

of taking possession; ST to be resettled within Scheduled

area; land free of cost for community purpose; land

alienation will be null and void and ST and SC

considered for R&R benefits; fishing rights restored in

irrigation and hydle projects; if wish to settle outside the

district additional benefits to be provided in monetary

terms; all rights enjoyed under other laws will continue.

Second Schedule: additional provisions for SC&ST for

land for land in irrigation projects, additional sum over

and above the subsistence grant,

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34. Institutional

arrangement

Institutional arrangement must

be agreed upon and included in

RAP, IPDP.

Section 43-45: Appointment of administrator, R&R

Commissioner, when more than 100 acres of land is to be

acquired, R&R Committee will be formed at project

level, social audit to be carried out by Gram Sabha and

Municipalities.

-

35. Change of land

use

Section 46(4): Land will not be transferred to the

requisitioning authority till R&R is not complied with in

full

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36 Monitoring and

Evaluation

Indicators and monitoring

system included in RAP and

IPDP

Section 48-50:Set up National and State level Monitoring

Committee to review and monitor progress

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37. Authority to

settle claims

Section 51-74: the Authority will be set up settle any

legal disputes that arise from acquisition and R&R, the

aggrieved party can move to the high court thereafter.

-

38. Exempt from tax

and fee

Section 96: Compensation and agreements will not be

liable to tax

-

39. No change in

status of land

acquired

Section 99: Once the land is acquired for a particular

purpose, its purpose cannot be changed

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40. Return of

unutilized land

Section 101: If the acquired land remains unutilized for 5

years, then it will be returned to original owner, heir or

included in land bank

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41. Distribution of

increased value

of land

transferred

Section102: 40% of appreciated value of acquired land

will be distributed to owners provided no development

has taken place.

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ADDENDUM-I

135

Addendum to Environmental and Social Management Framework of Namami Gange

Programmme (April 2017)

Environmental and Social Safeguards Management in PPP Projects

This addendum document shall be read in conjunction with Environmental and Social

Management Framework (ESMF) for Namami Gange Program 2011(revised in

December 2016)

A. Financing Projects under PPP Model:

1. Under the NGRBA framework, National Mission for Clean Ganga (NMCG) shall

finance only commercially viable projects under PPP model. Viable projects may

also include those projects that will become viable after receiving viability gap

funding under a government scheme.

2. In order to be eligible for funding through NGRBA framework under Namami

Gange program, in PPP mode:

a) The project will be developed (i.e. designed, financed, built and

operated for a specific term) by a private sector entity selected under

a Private-Public Partnership (PPP) concept through annuity or Hybrid

annuity or any contractual arrangement between a public entity and a

private company whereby risks from design, construction, and/or

operations, and/or financing are fully or partially transferred to the

private company.

b) A Special Purpose Vehicle (SPV) will be formed and will assign

overriding priority to PPP projects that are implemented by private

sector entities, selected through a competitive bidding process.

3. This addendum outlines the framework and procedures to be followed for

managing environmental and social safeguard issues in PPP projects that may

be implemented through NGRBA framework under Namami Gange Program.

B. Environmental and Social Safeguards Management for PPP Projects

under

4. All sub-projects and activities to be developed and operated under PPP mode

following NGRBA Framework shall carry out an Environmental and Social

Due-Diligence (ESDD) of the respective sub-project. The ESDD shall be

prepared by the Executing Agency (EA) as part of the feasibility / Detailed

Project Report (DPR) and shall be based on (i) field investigations of all the

proposed sub-project facilities and (ii) formal consultations with the stake

holders.

5. The ESDD shall comprise of (i) a description of the sub-project and its

components (ii) an environmental and social profile of the sub-project areas and

the proposed project facilities (iii) an Environmental and Social Screening and

136

categorization of the sub-project as outlined in Section 4.3 of Environmental

and Social Management Framework of NGRBA /

Namami Gange Program (iv) an analysis of environmental and social issues

associated with the project and (v) Environmental and Social Management

Action Plan (ESMAP) out lining various regulatory clearances, preparation of

Environmental and Social Assessment (ESA) Resettlement Action Plan (RAP),

other actions, and management measures to be implemented by the SPV / PPP

Concessionaire / operator and various other participating agencies in line with

the requirements of ESMF for a particular safeguard category of subproject.

6. The State Project Management Group (SPMG) will primarily be responsible for

the preparation of ESDD and ESMAP and overall management of their

implementation.

7. The ESDD along with ESMAP shall be submitted to NMCG along with the DPR

for appraisal. Upon receipt of the ESDDR, NMCG will review the project

categorization as per the ESMF, applicable regulatory clearance requirements

and the ESMAP. The review will follow the process outlined in the Section 4 of

the ESMF, including the approval of The World Bank.

8. The ESDD and ESMAP upon approval and prior to the initiation of the PPP bid

process, shall be disclosed locally in the website of EA, SPMCG, NMCG and

in the info-shop of the World Bank.

9. The ESMAP shall be included in the PPP bid document, clearly outlining the

responsibility for various safeguard management actions including the

preparation of ESA RAP for the sub-project in line with its safeguard

requirements outlined in section 4 of the ESMF.

10. During the implementation, the selected SPV / PPP concessionaire / operator/

prepare a design specific detailed ESMP/EIA/SIA/RAP report (as applicable)

as per the ESMF and obtain approval of NMCG and The World Bank before the

technical closure of the subproject and starting the construction work. All

necessary environmental clearance4, regulatory clearances and land clearances

shall be obtained as per the applicable regulations of Government of India and

the State Government before the commencement of construction works.

11. The ESMP/EIA/SIA/RAP reports shall be prepared by the SPV in line with the

guidelines provided in the ESMF and shall l be disclosed locally in the websites

of EA , SPMG, NMCG and also in the info shop of The World Bank.

12. The SPV / PPP concessionaire / operator shall be responsible for the

implementation of final ESMP/EIA/SIA/RAP and their recommendations. The

EA for the sub-project will supervise the implementation and NMCG with the

4 For the present portfolio of projects under NGRBA programme, currently only Regional

Solid Waste

Management projects may attract Environmental Clearance. However, time to time the

clearance requirement may also be applicable to other projects as well as per the amendments

of EIA notifications.

137

help of SPMG will monitor the of all the safeguard actions. . This responsibility

allocation and institutional arrangements for the sub-project shall be clearly

spelled out in the bid document.

C. Safeguard Compliance Monitoring and Reporting for PPP Projects

13. Projects financed by NMCG on PPP mode will be periodically monitored by the

Lender’s Independent Engineer (LIE) or similar technical agency and the

quarterly reports (including the compliance to ESMAP) shall be shared with the

SPMG and NMCG. The following procedures related to safeguards compliance

monitoring & reporting will apply.

i) The PPP Partner/SPV will submit monthly Environmental and Social Compliance Monitoring Report (ESCMR) to LIE. EA and SPMG for various project activities/actions agreed as per the ESMAP/ESMP/EIA/SIA/RAP reports. A sample format for the compliance monitoring for a sewerage project is given in Annexure 1.

ii) The LIE will review the ESCMR, conduct field inspections and submit the report to SPMG along with recommended follow up actions.

iii) Environment and Social Safeguard Specialists of SPMG/EA will also conduct quarterly / monthly compliance monitoring of the projects through site visits based on ESCMR and LIE’s recommendations. In absence of necessary specialists, such safeguard monitoring is to be done by the concerned safeguard specialists of PMC appointed by SPMG.

iv) Safeguard specialists of NMCG will also to make quarterly visits to projects site to ensure compliance to the agreed ESMAP and other safeguard documents as prepared by SPV along with LIE report. An indicative checklist of the documents that are required to be checked during the site visits of SPMG/EA/NMCG are given in Annexure-2.

v) An annual audit of all PPP projects will be conducted by the NMCG along with other sub-projects in line with the provisions of the ESMF.

138

Annexure 1: Sample Format for Periodic Environmental Monitoring Report

1.EMP for XXXX Sub-Project

1.1.Introduction – XXXTown

The components taken up for XXXare detailed in the following Table.

Package Sub Project Physical

Completion (%)

Date of

Award

Date of

Completion

HRR-1 Providing Under Ground Drainage system to XXXCity Municipal

Council )

UGD Network (Total –.)

Manhole (Total - Nos.)

House Service Connections ( Total – Nos.)

Wet well (No,)

Sewage Treatment Plant -

The status of Environmental Management Plan (EMP) for the month of March, 2015 are presented in the following sections

1.2.Permissions/Consents/Clearances/Approvals:

Particulars Sub

Project

SPCB Railways PWD Utility

shifting

Forest Minor Irrigation

Irrigation*

Consent/Clearances/ Permissions/Approval Status (Date of Clearance and completion status)

UGD & STP

CFE obtained On xxxx

Cleared

on)

Cleared on Cleared

NA NA NA

Note: For details refer Monthly Progress Report March, 2015.; NA-Not Applicable;

139

1.3.Field Visits & Training Conducted

Field

Visit

Date Sites Visited Persons Met Remarks

1.4.Compliance to EMP

Particulars Sub Project Complied

Compliance to EMP

Pre Construction

Phase

Sewerage System & STP √

Details on EMP is made part of Contractor Agreement Page No.

xx (Contract Agreement dated xxx )

Construction Phase Sewerage & STP

√

Details on EMP is made part of Contractor Agreement Page

No.xxxx1. Contractor complying with EMP are monitored by

the Site Engineer and xxxx on daily basis (Provided in

Annexure 1)

Monitoring

Requirements &

Specifications

Sewerage System & STP

√

Details on EMP is made part of Contractor Agreement Page No.xxxx Informed the Contractor to comply the same

Insert Construction Stage EMP (in Annexure) table here and provide compliance status,and Recommendations for each EMP measures

1.5.Redress of Grievances

Sub Project Registers

Maintained

No. of Grievances received

in the month

Action Taken

Sewerage System & STP √ xx

1.6.Labour Registration

The contractor has submitted the renewed labour license with a validity period of one year from xxxxx (Annexure x of EMP Report, ).

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1.7.Summary and Conclusions

EMP monitoring being done daily (see Annexure 1) on the critical issues and following improvements/ positive developments are observed.

Various issues are detailed out in Annexure 8).

Sl Details Compliance Status

1 Labour License Complied – Renewed upto xxx

2 Project Information Board Complied at STP

3 Grievance Register Complied

4 Identification of dumping land for surplus earth Complied

5 In order to avoid drain blockages, removing of left out

excavated material to be cleared on urgent basis

Complied,

However, the following issues need to be addressed.

Sl Issues/Deviations Compliance

status last

visit

Corrective Actions to be

taken

Compliance status during this

month

1 Safety measures, Helmets, Gum boots, First Aid Kits, barricading etc. needs to be provided at all locations

2 Name of contact person with phone number to be included in project information board.

3 Labours staying in the STP Camp

Site. Presently there is no toilet and

no bathing facility

4. Accessibility for Public

141

5 Maintaining safe slope at work site

and avoid collapsing of soil/ avoid

accidents

6. Drain Cleaning

7 Soil Sinking stretches/Soil collapse

8 Pipeline trenches and Manhole construction pit kept open since 10 to 15 days in xxx place

9 Precautions for Opening Manhole

142

Attachment 1: Photographs

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Annexure 2: Checklist of Documents to be checked during the site inspection

1. Environmental Impact Assessment(EIA) and Environmental Management Plan

(EMP) reports/ ESIA Study/ Initial Environmental Examination Study Report

2. Copy of various clearances like (Environmental Clearance, forest clearance and

NOC) from various authorities like MoEF&CC, SPCB, other state level regulatory

authorities etc. and , RAP and SMP as applicable and grievance register.

3. HSE Manual/Plan prepared for the project, if any

4. Detailed Project Report (DPR)

5. Proposed Institutional arrangement (Project Site Organogram) in place for

implementation and monitoring of EMP;

6. Annual EMP Budget and its expenditure status

7. Disaster Management Plan (DMP),as applicable

8. Onsite and offsite Emergency Preparedness Plan, as applicable

9. Any other Miscellaneous study done for project regarding Environmental

safeguards Aspects

.